Our deep knowledge of securities regulation and sophisticated financial instruments enable us to advise clients on all types of regulatory matters and securities transactions.

We provide counsel to derivatives and commodities groups of investment banks, commercial banks, intermediary institutions and financial institutions in the design of energy, metals and foreign-exchange derivatives, commodity-linked derivatives and development of new products.

We have worked on regulatory issues in connection with implementation of trading platforms for energy, precious metals and foreign exchange derivatives and on preparation of white label contracts.

We have assisted public companies, agents and issuers in equity and rights offerings and with regulatory clearance of such offering programs before the Capital Markets Board.

We assist issuers who are transitioning to becoming publicly owned by advising the shareholders and board of directors on regulatory issues, corporate governance, drafting of disclosure documents before an IPO and issues such as periodic reporting and disclosure matters thereafter.

Core Competencies

Regulatory Compliance
  • Intermediary institutions
  • Asset management
  • Investment management
  • Portfolio management
  • Professional liability defense
  • Financial services executive liability
  • Investment advisor liability
  • White collar irregularities
Transaction Advisory
  • Equity offerings
  • Debt offerings
  • Derivatives and Commodities
  • Initial Public Offering
  • Rights offerings
  • Electronic Trading Platforms
  • White Label Contracts