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An Introduction to Private Investment Funds

SKU: BUS6700
General Credits
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An overview of the legal and practical considerations when establishing a private equity fund, real estate fund, or hedge fund. We will review the relevant sections of the Investment Company Act of 1940 (the “40 Act”), the Investment Advisers Act of 1940 (the “Advisers Act”), and the rules promulgated thereunder, including the most commonly used exceptions to registration under the 40 Act and Advisers Act.

We will also review relevant provisions of the Securities Act of 1933 (the “33 Act”) and relevant regulations promulgated thereunder, state investment adviser regulation and blue sky laws, and relevant regulations promulgated by the CFTC. We will consider specific terms of various kinds of funds that are customary and “market”, and the various service providers that may be required, as well as strategies and products that have become common recently. Finally, we will consider disclosure requirements in private placement memoranda.

Lecturer Bio

David A, Pentlow, Esq.

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.

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