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We provide a variety of legal knowledge and information, and inform you about legal procedures and response methods in each field.
Regulatory Solutions
SJKP LLP’s Regulatory Solutions Practice provides comprehensive legal guidance across a broad range of investment management and financial regulatory matters. With deep experience across SEC regulations, compliance frameworks, and global legal standards, our attorneys help clients address challenges from formation through ongoing operations and enforcement risk.
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1. Regulatory Solutions for Investment Fund Managers
Our attorneys advise private fund sponsors and registered investment advisers on SEC registration and examination, compliance procedures, exemptive relief, and regulatory structuring under the Investment Advisers Act and Investment Company Act. We also provide strategic counsel on mergers, acquisitions, and spin-offs of fund managers and broker-dealers.
SEC Compliance and Examination Support
We assist clients in developing robust compliance policies, preparing for SEC exams, and responding to enforcement inquiries. Our practical experience with the SEC’s procedures and decision-making allows us to offer proactive guidance during critical regulatory interactions.
2. Regulatory Solutions in Cross-Border Operations
SJKP LLP supports investment managers navigating U.S. and foreign regulatory environments, including compliance with the Alternative Investment Fund Managers Directive (AIFMD), ERISA, U.S. tax laws, and financial institution oversight frameworks. We guide clients operating global fund products across multiple legal regimes.
Structuring and Avoiding Investment Company Status
We advise clients on structuring investment entities to avoid inadvertent classification as investment companies under the Investment Company Act. This includes strategic planning, SEC analysis, and legal opinions supporting exempt status for special-purpose vehicles and joint ventures.
3. Regulatory Solutions in M&A and Asset Management Transactions
We provide regulatory support in M&A and transactional matters involving asset managers, broker-dealers, and fund complexes. Our lawyers collaborate across teams to ensure successful deal execution within a highly regulated financial services environment.
Collaborative, Cross-Disciplinary Regulatory Counsel
SJKP LLP’s tax, private equity, ERISA, and litigation groups to address the full spectrum of issues facing investment advisers. From product design to enforcement response, our cross-functional approach ensures strategic and compliant outcomes.
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.
