Our Investment Management Legal Services practice assists clients with the analysis of financial products and provides advice in connection with federal and state securities, banking, and insurance regulation. We have substantial experience advising bank, thrift, insurance, and financial holding companies; depository institutions; and insurance companies, as well as their respective affiliates.
Our attorneys represent independent and financial institution-affiliated broker-dealers in several types of matters. Our representation includes:
The attorneys of Jones Walker represent investment advisers in all aspects of their business. Our representation of advisory clients includes:
Jones Walker's attorneys have defended cases involving the securities industry throughout the United States, and have appeared before state and federal courts, administrative bodies, and arbitration tribunals. Our clients include financial institutions, investment advisers, broker-dealers, hedge funds, and insurance companies, as well as directors, officers, and other employees. Our litigation, regulatory enforcement, and investigation representation includes:
We regularly organize private investment funds for a broad range of clients, and represent sponsors, investors, and placement agents in connection with the structuring and operation of domestic and offshore hedge funds, funds of funds, venture capital funds, and private equity funds. Our representation includes the following:
Our attorneys represent numerous institutional clients, hedge funds, and investment advisers that employ derivatives. We also assist clients with respect to derivatives matters, including the following:
Jones Walker has extensive experience representing investment advisers, insurance companies, broker-dealers, and diversified financial service firms in mergers and acquisitions, joint ventures, financings, and related corporate transactions. Our representation includes coverage of the financial, structural, tax, and regulatory issues that these transactions present.
Jones Walker assists clients with designing and implementing incentive compensation and equity ownership arrangements for principals of private investment advisers and broker-dealers, in connection with mergers and acquisitions work and on a stand-alone basis.
We are experienced with registering investment advisers, broker-dealers, municipal securities dealers, government securities dealers, and insurance producers, as well as employees and affiliates of such firms. We routinely create compliance programs for clients, review clients' existing compliance programs and procedures, and assist clients with examinations and inquiries by state and federal securities and insurance regulators. We regularly provide private funds, investment advisers, and broker-dealers with regulatory advice with respect to the SEC, the U.S. Commodity Futures Trading Commission (CFTC), FINRA, and stock exchanges.