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Tonkon Torp is a leading provider of comprehensive legal services for institutions and professionals in the financial services industry. We focus on helping our clients arrive at the best legal and business decisions.
The Financial Services Practice Group at Tonkon Torp represents:
In advising our clients, we draw on the combined strength and issue-specific expertise of Tonkon Torp's Corporate Finance, Mergers and Acquisitions, Real Estate and Land Use, Taxation, Labor and Employment (including Employee Benefits), Intellectual Property, Wealth Planning and Litigation Practice Groups.
We counsel investment advisers and broker-dealers on all phases of their businesses and on all aspects of their organization, regulation and compliance obligations. We also advise unregistered advisory firms with respect to the availability and scope of exemptions from registration.
Our services to investment advisers and broker-dealers include:
We advise clients on the structure, organization and offering of private investment funds, including private equity funds, hedge funds, real estate funds, funds of funds, bank pooled investment funds, and bank common trust funds. Our advice covers the broad scope of legal and compliance issues faced by funds and their managers under federal and state laws and regulations. We provide a full range of legal services to our private investment fund clients, including:
The Financial Services Practice Group at Tonkon Torp represents:
- Investment advisers and broker-dealers
- Collective investment vehicles that are exempt from registration under the Investment Company Act of 1940 (i.e., private funds)
- Banks, bank holding companies and trust companies
In advising our clients, we draw on the combined strength and issue-specific expertise of Tonkon Torp's Corporate Finance, Mergers and Acquisitions, Real Estate and Land Use, Taxation, Labor and Employment (including Employee Benefits), Intellectual Property, Wealth Planning and Litigation Practice Groups.
Investment Management Practice
Investment Advisers and Broker-DealersWe counsel investment advisers and broker-dealers on all phases of their businesses and on all aspects of their organization, regulation and compliance obligations. We also advise unregistered advisory firms with respect to the availability and scope of exemptions from registration.
Our services to investment advisers and broker-dealers include:
- Planning, structuring, organizing and reorganizing investment advisers and broker-dealers
- Governance issues
- Compliance with federal and state securities laws and federal commodities laws, including registration or complying with available exemptions from registration
- Form ADV disclosure
- Employee licensing requirements
- Product development
- Advisory, subadvisory and brokerage agreements
- Marketing agreements, including selling agreements and solicitation agreements
- Executive compensation issues, including employment, noncompetition and nonsolicitation agreements
- Compliance programs and compliance manuals, including codes of ethics and insider trading restrictions
- Advertising and sales literature issues
- Advice on SEC and FINRA examinations
- Mergers and acquisitions, including sales, acquisitions and spin offs
- Tax and succession planning
- Litigation and arbitration, including shareholder disputes and defending enforcement matters
We advise clients on the structure, organization and offering of private investment funds, including private equity funds, hedge funds, real estate funds, funds of funds, bank pooled investment funds, and bank common trust funds. Our advice covers the broad scope of legal and compliance issues faced by funds and their managers under federal and state laws and regulations. We provide a full range of legal services to our private investment fund clients, including:
- Fund structure, formation and documentation
- Business term alternatives
- Securities regulatory and compliance matters
- Tax and ERISA analyses
- Marketing arrangements
- Investor negotiations, including side letters and coinvestment structures
- Structuring funds to comply with banking regulations (for funds sponsored by banks)
- Contracts with service providers
- Manager structure and formation issues
- Fund transactions, including portfolio loans and investments, acquisitions, dispositions, coinvestments, and portfolio company representation
Bank Practice
We provide a wide variety of services to banks, bank holding companies and trust companies, including:- Compliance with state and federal banking laws
- Bank formation and financing
- Corporate governance
- Director and officer liability considerations
- Executive compensation issues
- Business agreements
- Bank branching
- Lending and loan workouts
- Mergers and acquisitions
