We have experience in representing national and international institutions, and smaller companies, in connection with ordinary and extra-ordinary transactions, including in most areas of banking and finance, starting with non-disclosure agreements and memoranda of understanding, and finishing with completed/closed deals. Clients whom we have represented in acquisitions and sales include lenders, borrowers, venture capitalists, funds, manufacturers, and investors.
We represent both banks/lenders and borrowers. Recent matters include loans, leases, and other finance transactions, including equipment leases, letters of credit, and factoring agreements.
We also have good relationships with New York Department of Financial Services and the Deputy Superintendent of Banking, and have experience in establishing branch or representative offices for foreign financial institutions.
We represent multiple capital markets clients, including multiple broker/dealers and investment advisors, as well as private equity firms, hedge funds, smaller investment banking firms, capital management firms, fund managers, and fund administrators for whom we negotiate and draft contracts with their clients; negotiate and draft contracts with service providers and suppliers; draft (and negotiate with their clients) electronic brokerage agreements, clearing broker agreements, introducing broker agreements; provide regulatory and compliance advice; draft compliance manuals, employment manuals, and procedures manuals; conduct investigations; and represent in connection with audits and investigations by the SEC and various self-regulatory authorities, such as FINRA, as well as matters with state regulators.
Among the multiple introducing, clearing, or executing brokers that we represent are several US broker-dealers that are owned by foreign institutions, and we are aware of their unique regulatory concerns (including Rule 15a-6).
Other corporate work is provided to clients that are not financial institutions or in the capital markets. The work we provide to them cannot as easily be summarized, but it includes routine agreements and corporate work, ranging from negotiation and drafting of contracts for purchase or sale of goods or services, to software licenses, to agreements with real estate brokerage firms and negotiation of leases and contracts for the purchase or lease of real estate.