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Registered Funds & Retail Alternatives
Registered Funds & Retail Products represent a rapidly evolving segment of the investment management industry, subject to complex regulations and high investor expectations. SJKP LLP provides comprehensive legal services to fund sponsors, investment advisers, and institutional clients who seek to develop, manage, and distribute retail-oriented investment products. Our team offers tailored strategies that combine regulatory compliance with innovative structuring to help clients succeed in today’s competitive marketplace.
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1. Registered Funds & Retail Alternatives Compliance and Structuring
We advise on every phase of fund creation and operations, including registration under the Investment Company Act of 1940, compliance with SEC regulations, and interaction with FINRA and state regulators. Our lawyers have deep experience helping clients obtain exemptive relief, submit no-action letters, and respond to SEC examinations. We also guide clients through the establishment of business development companies (BDCs), mutual funds, closed-end funds, and interval funds.
Registered Funds & Retail Alternatives: Structuring of Complex Vehicles
Our attorneys structure registered funds of hedge funds, master-feeder vehicles, synthetic structures using derivatives, and other innovative vehicles designed for both retail and institutional distribution. We also advise on cross-border products and dual-compliance regimes, ensuring our clients navigate overlapping U.S. and non-U.S. legal frameworks with confidence.
2. Registered Funds & Retail Alternatives Governance and Distribution
SJKP LLP advises fund boards and managers on governance issues including fiduciary obligations, disclosure requirements, and conflict of interest policies. We help structure and review distribution platforms including open-end funds, exchange-traded funds (ETFs), and tender offer funds. Our team routinely negotiates distribution and sub-advisory agreements with leading financial institutions.
Registered Funds & Retail Alternatives: Integration with Corporate Transactions
Our practice regularly advises on mergers and acquisitions of fund complexes, spin-offs, restructurings, and asset transfers involving registered investment vehicles. We collaborate with our M&A and Tax teams to ensure efficient transaction execution with regulatory integrity. This includes guidance on fund reorganizations and advisor transitions.
3. Registered Funds & Retail Alternatives Regulatory Engagement
Our team includes former SEC senior staff and experienced fund counsel with a deep understanding of the regulatory landscape. We handle SEC investigations, enforcement actions, and product review discussions. We also liaise with the Department of Labor, FINRA, and international regulators to resolve complex regulatory questions.
Registered Funds & Retail Alternatives: Capital Markets and Offerings
We represent closed-end funds, BDCs, and their underwriters in public offerings, secondary issuances, rights offerings, and private placements. Our Capital Markets team integrates seamlessly with our funds lawyers to deliver efficient, compliant offerings that meet sponsor and investor goals.
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.
