Advising Money Managers on Regulatory Compliance
Managing money for domestic and foreign investors today requires compliance with a host of regulations that can affect all of your business activities, from the design of your investment products to communications with your clients. Ignoring any of these legal restrictions could result in regulatory sanctions, damage to your reputation or give-backs to your investors.
If you want to make certain that you are conducting your investment advisory business in accordance with the rules, you can turn to New York City investment advisory lawyer Stephen A. Bornstein. Having advised asset managers on all aspects of their operations since 1980, Stephen offers reliable legal advice backed by practical experience.
Offering an Experienced Perspective and Personal Service
Stephen is available to hedge funds, private investment funds, family offices and other clients on a consultative basis. As a solo practitioner, he provides personalized service to each of his clients. Stephen has the in-house legal background to navigate smoothly and economically through complex securities regulations while advising you on matters such as the following:
- Structuring your private investment funds
- Refining your offering and marketing documents
- Negotiating your investment management agreements
- Engaging your distributors and other service providers
- Communicating with clients, regulators and the media on routine and sensitive matters
- Formulating trading, valuation and other operating policies
Stephen opened his law practice in 2010. Previously, he served as a senior vice president of D.E. Shaw and general counsel of Bear Stearns Asset Management, putting him in a strong position to advise asset managers directly or to efficiently manage their relationships with outside counsel. Stephen began his career as an attorney at Willkie Farr & Gallagher.
Manhattan Money Management Lawyer · 877-456-8532
Managing the assets of others invariably involves legal risks. Stephen can help you identify these risks and take the appropriate steps to minimize them. To schedule a free consultation to discuss your legal needs and concerns, please contact Stephen's Manhattan office at 877-456-8532 or by e-mail. You can also visit Stephen's law blog where he comments regularly on key legal issues facing asset managers today.
