Proskauer's dedicated Private Investment Funds Regulatory team helps clients navigate complex challenges with practical, commercial solutions in an increasingly dynamic regulatory environment.
Our private investment funds practice is among the most active in the market, and our regulatory team is an integral part of that platform. We provide cross-border advice to asset managers, investment funds and their advisors, financial institutions, institutional investors, and regulated fund advisors across a wide range of investment products and industry sectors.
Our team includes former lawyers from regulatory agencies, including the Securities and Exchange Commission (SEC) and Department of Justice (DOJ), as well as lawyers who have spent decades advising clients in the private sector. Drawing on experience from both regulatory and industry perspectives, we help clients navigate evolving requirements with confidence and clarity.
Our team addresses every aspect of U.S. securities regulation, including insider trading, breaches of fiduciary and contractual duties, conflicts of interest, financial fraud, anti-money laundering and sanctions issues, hedge fund trading, related party transactions, bond trading, performance fees, soft dollar issues and stock manipulation.
- SEC rules
- FINRA rules
- CFTC rules
- NFA rules
- Stock exchange listing standards
- Other agencies and sef-regulatory organizations (SROs)
- AIFMD
- MiFID II
- EMIR
- Market Abuse Regulation (MAR)
- Short Selling Regulation
- SFTR
- Senior Managers & Certification Regime
- Remuneration regulation
- Fund marketing strategies for Europe
- SFDR/Taxonomy Regulation
- PRIIPs