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Asset Management
SJKP LLP’s Asset Management Transactions practice delivers strategic legal solutions across the full spectrum of deals involving asset managers, investment funds, and financial institutions. With a global footprint and deep regulatory insight, our team enables clients to execute high-value transactions while managing risk and achieving long-term growth.
Our lawyers understand that asset management is not just about executing deals but about aligning complex legal structures with investor demands, regulatory scrutiny, and long-term business strategies. By providing tailored advice, we help clients maximize value, enhance governance, and maintain compliance across jurisdictions.
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1. Asset Management Transaction Structures and Trends
SJKP LLP’s Asset Management Transactions practice provides strategic legal solutions for asset managers, investment funds, and financial institutions across a wide range of deals.
With a global presence and deep regulatory expertise, our team helps clients execute high-value transactions while effectively managing risk and ensuring long-term growth. We guide clients through complex asset management transactions, providing tailored advice to meet their unique business objectives and navigate regulatory challenges. Our insights into current market trends — including consolidation among asset managers, private equity-backed acquisitions, and digital transformation in asset management — allow clients to anticipate change and adapt proactively.
Asset Management M&A and Control Transactions
We represent clients in full buy-outs, partial stake acquisitions, and joint venture formations involving asset managers and affiliated businesses. Our services include deal structuring, negotiation, due diligence, and regulatory review under U.S. SEC, FINRA, and global standards. We also advise on antitrust filings, tax structuring, and integration planning to ensure seamless transitions. By combining commercial acumen with regulatory foresight, we enable clients to pursue growth strategies with confidence.
Asset Management GP Stakes and Minority Investments
GP-staking firms and investors turn to us for advice on minority stake acquisitions in asset managers, including rights negotiation, governance structuring, and conflict-of-interest risk mitigation. Our team drafts governance agreements that balance investor protection with operational flexibility. We also address long-term capital alignment, redemption rights, and regulatory approvals, ensuring that both sponsors and investors achieve mutually beneficial outcomes.
2. Asset Management Carve-Outs and Succession Planning
We regularly advise on management team spin-outs, lift-outs, and broader carve-out transactions. Our experience extends to succession planning and separations in the context of generational transfers and founder exits. These transactions often involve balancing the interests of founders, management teams, and outside investors, requiring careful structuring to avoid disputes and regulatory challenges.
Asset Management Continuation Funds and Liquidity Solutions
We help clients establish continuation funds and related vehicles, addressing legal, tax, and investor considerations. Our team designs structures that provide liquidity for existing investors while enabling managers to continue overseeing valuable assets. We also advise on strip sales, tender offers, and synthetic secondary structures, ensuring that all parties’ interests are protected. In a market where liquidity is increasingly valued, we deliver innovative solutions that support investor confidence and long-term stability.
3. Asset Management Regulatory and Compliance Considerations
All transactions are reviewed within the evolving legal landscape of the Investment Advisers Act, Investment Company Act, SEC, FINRA, and Dodd-Frank regulations. We ensure that clients remain compliant throughout the transaction lifecycle. Our lawyers work closely with compliance officers, regulators, and transaction counsel to mitigate risks, accelerate approvals, and implement post-transaction compliance programs.
Asset Management Broker-Dealer Transactions
Transactions involving broker-dealers, registered investment advisers (RIAs), and dual registrants require nuanced regulatory navigation. We coordinate closely with compliance teams and regulators to reduce approval timelines and legal exposure. Our services include preparing regulatory filings, advising on capital requirements, and addressing conflicts of interest. We also help clients manage supervisory obligations under FINRA rules, ensuring that both operational and reputational risks are minimized.
4. Asset Management Transactions: Why Choose SJKP LLP?
SJKP LLP offers a multidisciplinary team with experience across fund formation, corporate governance, tax, securities, and antitrust law. Our collaborative approach brings together attorneys from across practices and jurisdictions to provide seamless, globally informed counsel.
We are trusted by global asset managers, private equity sponsors, hedge funds, and institutional investors for our ability to anticipate regulatory shifts and deliver innovative solutions. By integrating transactional expertise with regulatory insight, we help clients not only execute deals but also future-proof their business models against evolving legal and market demands.
The information provided in this article is for general informational purposes only and does not constitute legal advice. Reading or relying on the contents of this article does not create an attorney-client relationship with our firm. For advice regarding your specific situation, please consult a qualified attorney licensed in your jurisdiction.
