KPPB LAW clients rely on our team to gain a thorough understanding of federal and state securities laws and matters regarding securities transactions, compliance and corporate governance. We represent clients in a wide range of industries, with a particular focus on growth companies in the telecommunications, software, internet, electronic commerce, technology, and financial institutions industries.
KPPB LAW’s Securities & Corporate Governance practice provides a complete range of related legal services, including representation of:
- Public companies in connection with their ongoing SEC filings and compliance
- Public companies in connection with their ongoing compliance with Sarbanes-Oxley and the requirements of the NYSE, NASDAQ and AMEX
- Directors and committees seeking advice on meeting their fiduciary duties, corporate governance initiatives, conducting investigations, negotiating related party transactions, and addressing derivative claims
- Businesses seeking to raise capital by means of private offerings, and Rule 144A debt offerings
- Publicly and privately held businesses in the areas of corporate governance, transaction planning, and risk management
- Privately held businesses considering M&A transactions
- Officers, directors and large shareholders in connection with share acquisitions, dispositions and hedging transactions
- Investment funds in connection with fund formation and capital raising
Private Offerings
- Advising business owners on structuring the company and the offering
- Negotiating with investment bankers, venture capitalists, angel investors, and other financing sources (including term sheets, letters of intent)
- Drafting offering circular and related documents
- Advising on compliance with state and federal securities laws
Securities Compliance
- Periodic Reporting Obligations (10Ks, 10Qs, 8Ks, etc.)
- National Exchange Regulations (NASDAQ, AMEX, etc.)
Private Equity Funds / Investment Advisors
- Formation of Funds
- Investment Advisors Act Compliance
Fund Formation & Compliance
KPPB’s Securities and Fund Formation Practice has worked with and advised new and established private funds through the process of structuring their alternative investment vehicles and investments.
The Practice has formed U.S. and off-shore funds utilizing structures that complement each fund’s investment strategy. Our clients include private equity, venture capital and hedge funds that seek our expertise in fund formation and advice on regulatory issues.
The operation of an investment fund is a complex matter and our attorneys are sensitive to, and experienced in dealing with, the problems that can arise. We draw upon this broad and deep experience when advising clients on structuring, negotiating, and preparing fund documents.
Our fund formation attorneys work closely with our Tax Practice to structure funds and their management companies in the most tax efficient way possible, and that comply with the various regulations affecting private equity, venture capital and hedge funds.
