Structured & Regulated Finance
Description
Structured finance is invoked when companies have complex financing or financial risk management needs, which cannot be solved with conventional financing. At IBL, our experienced attorneys advise our clients on a wide range of finance and trading regulations, such as the federal statutes administered by the CFTC and SEC that cover matters ranging from the registration, conduct, and reporting requirements of investment advisers, broker-dealers, and commodity trading entities, to the regulation of exchange-listed and over-the-counter (OTC) swaps and derivatives for securities and commodities.
SERVICES
Broker-dealer
Fund formation
Investment Advisers Act and Investment Company Act (’40 Acts)
Project Finance
Structured finance
Securities Exchange Act & Dodd-frank
Alternative Trading Systems (ATS)
Securities exchanges
Market-makers
Commodity Exchange Act
Commodity Trading Advisors (CTAs)
Commodity Pool Operators (CPOs)
Floor brokers and floor traders
Registered Investment Adviser (RIA)
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