Securities Compliance Attorneys Serving Hedge and Private Equity Funds
The Hertz Schram PC Securities Team is experienced in all issues relating to formation of hedge funds as well as bringing them, private equity funds and other pooled funds into compliance with current regulations, including new registration, filing and compliance requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
The job of our Michigan hedge fund compliance attorneys is to help you anticipate potential legal and regulatory risks in the creation and operation of your entity, and to minimize the costs associated with making what could be critical decisions affecting your business. Our lawyers have general counsel and chief compliance officer experience serving hedge and private equity funds. We know that each fund's needs are different, and that just as you must "know your customer," your attorneys must know you and your requirements.
The first step is establishing policies and procedures, which are custom-fit to your business, and which reflect a "culture of compliance" so that they can best enable your compliance and legal staff to monitor your day-to-day operations as well as detecting and reporting potential risks. From there, our nationwide hedge fund formation attorneys offer the full range of services required to maintain the compliant and successful operation of your fund, from registration and filings to preparation of offering documents, subscription documents, investor communications, and communications with state and/or federal regulators.
Handling hedge fund cases in Michigan, Florida and nationwide.
Addressing the "Hot Button" Issues Up Front
Areas of risk most closely monitored by regulators include valuation and trading risk, employee trading, and conflicts of interest. Our custom-tailored written policies and procedures, as well as our ongoing advisory services, including maintenance of Forms ADV and review of your quarterly and annual reports prior to issue, will help your entity maintain a solid relationship with your investors, as well as with state and SEC regulators, based on integrity and the credibility that goes with it.
For entities that already have written supervisory procedures and other such documentation in place, Hertz Schram PC conducts independent forensic analysis to help you determine if your supervisory systems are reasonably designed to detect and prevent violations of state and federal securities laws. We will help you strengthen your procedures, and train your supervisory staff in implementing them, as well as back-test their progress in "walking the walk."
Representing Clients on All Sides of Hedge Fund Disputes
The Hertz Schram PC Securities Team offers superlative risk management and defense relating to investor claims brought in state and federal courts, as well as in defending your entity against state and federal regulatory actions. We also represent investors in claims against hedge funds and their managers.
Call for an Initial Consultation
Contact our office today to discuss your hedge fund case with one of our attorneys. You can reach our firm by phone at 866-775-5987 or via e-mail.