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Cipperman & Investment Management Lawyers |
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Cipperman & Company |
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Representative Matters, |
Distribution
Negotiated mutual fund trade routing and clearing agreements
Drafted mutual fund and separate account wrap program agreements
Completed transfer of accounts ($100 Billion) to new clearing broker
Designed and implemented distribution arrangements, plans, and agreements
Reviewed marketing materials for SEC, NASD, and AIMR compliance
Advised large clearing firm with respect to fee-based advisory program
Prepared brokerage account cash sweep documentation
Structured the payment and receipt of solicitation and distribution fees
Technology
Negotiated ASP trade order and routing system
Created documentation for web-based institutional trading portal
Prepared all documents for 22c-2 product offering by a large intermediary
Drafted licensing agreements for preparation of fund financial statements
Advised compliance system provider on applicable regulations
Fund Formation
Advised large equity manager on creation of pooled investment products
Counseled large insurance company on creation of institutional equity fund
Drafted Hedge Fund offering documents and related operating agreements
Negotiated swap and derivative arrangements
Negotiated investment advisory, administration, and distribution agreements
Prepared Tender Offer documents for closed-end fund-of-funds
Drafted and reviewed prospectuses, proxy statements, and annual reports
Other Representative Transactions
Advised buyers and sellers with respect to investment adviser acquisitions
Serve as fund counsel and independent directors counsel for mutual fund families
Engaged by ETF sponsor for operational and compliance matters
Served as U.S. counsel in connection with MBO of UK-based equity manager
Conducted compliance reviews and authored Adviser and Broker-Dealer compliance manuals
Drafted Code of Ethics and Insider Trading policies and procedures
Counseled with respect to regulatory audits
Created and registered federal and state advisers and broker-dealers
Negotiated mutual fund trade routing and clearing agreements Drafted mutual fund and separate account wrap program agreements Completed transfer of accounts ($100 Billion) to new clearing broker Designed and implemented distribution arrangements, plans, and agreements Reviewed marketing materials for SEC, NASD, and AIMR compliance Advised large clearing firm with respect to fee-based advisory program Prepared brokerage account cash sweep documentation Structured the payment and receipt of solicitation and distribution fees Technology
Negotiated ASP trade order and routing system Created documentation for web-based institutional trading portal Prepared all documents for 22c-2 product offering by a large intermediary Drafted licensing agreements for preparation of fund financial statements Advised compliance system provider on applicable regulationsFund Formation
Advised large equity manager on creation of pooled investment products Counseled large insurance company on creation of institutional equity fund Drafted Hedge Fund offering documents and related operating agreements Negotiated swap and derivative arrangements Negotiated investment advisory, administration, and distribution agreements Prepared Tender Offer documents for closed-end fund-of-funds Drafted and reviewed prospectuses, proxy statements, and annual reportsOther Representative Transactions
Advised buyers and sellers with respect to investment adviser acquisitions Serve as fund counsel and independent directors counsel for mutual fund families Engaged by ETF sponsor for operational and compliance matters Served as U.S. counsel in connection with MBO of UK-based equity manager Conducted compliance reviews and authored Adviser and Broker-Dealer compliance manuals Drafted Code of Ethics and Insider Trading policies and procedures Counseled with respect to regulatory audits Created and registered federal and state advisers and broker-dealersCopyright . Cipperman & Company. All rights reserved.