Katten’s Financial Services team effectively represents a broad range of financial market participants, including some of the world’s most elite financial institutions and alternative investment managers, in regulatory, product structuring and transactional, tax, compliance, and other matters. Our attorneys are actively engaged in advising commercial and investment banks, broker-dealers, futures commission merchants, investment advisers, alternative investment managers, finance companies, futures and securities exchanges, commodity trading advisors, commodity pool operators, proprietary trading firms, pension funds, family offices, sovereign wealth fund, and insurance companies. We also represent all manner of registered and alternative investment vehicles, including mutual funds, closed-end funds, exchange-traded vehicles and business development companies, liquid alternative funds, and hedge funds, funds of funds, venture capital funds, private equity funds, commodity pools, securitization vehicles, and bank collective investment funds.
We assist in structuring, negotiating and documenting loans and traditional financial products as well as structured investments and the full range of exchange-traded and over-the-counter (OTC) derivatives transactions. Our attorneys guide clients through all aspects of regulatory compliance and provide comprehensive representation in investigations and enforcement actions brought by the SEC, DOJ, CFTC, FINRA, the Federal Reserve Board, the Office of the Comptroller of the Currency, the Consumer Financial Protection Bureau, state regulators, and securities and futures exchanges.
In addition, we counsel both first-time and well-established sponsors in the formation of funds in a variety of sectors of the fund industry, including hedge funds, venture funds, leveraged buyout (LBO) funds, mezzanine funds, real estate funds, commodity and futures funds, industry-specific funds and funds-of-funds.
Due to the unique combination of regulatory and transactional experience Katten offers, our attorneys are often seen as outside general counsel for their clients, providing advice on a wide variety of legal matters.