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Investment Management
PKJ offers representation to registered investment companies, investment advisers and broker-dealers regarding issues involving investment and financial products and services focusing primarily on regulatory, compliance and disclosure issues affecting registered open-end investment companies, closed-end investment companies and business development companies, investment advisory firms and investment company independent directors. The firm’s attorneys are experienced in counseling venture capitalists, hedge funds, offshore funds and other unregistered investment companies and their advisers on fund formation, operation and compliance.
Representative Experience:
- Represented a business development company in a $60 million initial public offering.
- Represented investment issuers and investment vehicles in exemptive applications to the SEC.
- Prepared Board and other materials for investment advisory agreement approvals.