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  • Description

    There are many legal and practical considerations to account for when establishing a private equity, real estate or hedge fund. This CLE course will offer a comprehensive review of the Investment Company Acts of 1940 (the “40 Act”) relevant sections as well as those of the Investment Advisers Act of 1940 (the “Advisers Act”), including the rules and commonly used exceptions to registration under these acts.

    The course will also undertake a review of relevant provisions of the Securities Act of 1933 (the “33 Act”) as well as its regulations including blue sky laws, state investment adviser regulations and those circulated by the CFTC. Specific terms related to types of customary funds and service providers that may be useful, as well as tips, strategies, and products that have proved helpful. The course will conclude with a discussion of disclosure requirements in private placement memoranda.

  • Instructor Bio

    David Pentlow

    David Pentlow concentrates his practice in corporate and securities law and private investment funds. He represents private equity funds, real estate funds, hedge funds and other investors, financial institutions, and issuers (from start-ups to established public companies) in connection with securities offerings and other finance transactions, fund and product launches, regulatory compliance (including SEC, CFTC and other regulatory matters) and other transactions.

    Representative transactions and matters include public and private debt and equity financing transactions (including special purpose acquisition companies ("SPACS"), real estate joint ventures, real estate transactions involving REIT's and operating partnership ("OP") units, structuring new onshore and offshore investment funds and products, mergers and acquisitions.

    He also advises clients in reorganizations and debt restructurings and a range of general corporate matters and agreements.