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Prominent Financial and Regulatory Counselors

Hedge Funds & Private Equity

Lawrence Kamin advises clients on investment management opportunities, including structuring hedge funds and private equity funds, and often consults on the regulatory issues related to private fund management. Lawrence Kamin’s partners have the experience necessary to help your private Equity firm or hedge fund choose the appropriate registration category and structure your compliance program to work with the realities of your business. Our attorneys also counsel institutional investors with respect to alternative investments, such as in private equity and hedge funds.

Our team has advised firms on the Umbrella Registration requirements under the 2018 revision to form ADV, and routinely advises firms registering for the first time, transitioning their registration, starting up a new fund, or winding down an old fund. We also know how to keep employees compliant with the exemptions applicable to private equity firms and hedge funds

We helped a private Equity firm revamp its procedures in response to a deficiency letter. Prior to our involvement, the firm had purchased off-the-shelf procedures from a compliance company that contained page after page of procedures relating to best execution of market transactions. Not only had the private Equity firm never placed a trade on the public market, it had no intention of ever doing so. Because Lawrence Kamin recognizes that “more” is not always “better” when it comes to procedures, we were able to simplify the firm’s compliance process and still satisfy the regulatory requirements.

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