Katten's Financial Services team represents a broad range of financial market participants, including some of the world's most elite financial institutions and alternative investment managers, in regulatory, product structuring and transactional, tax, compliance, cybersecurity, and other matters.
Our attorneys are actively engaged in advising commercial and investment banks, broker-dealers, futures commission merchants, investment advisers, alternative investment managers, finance companies, futures and securities exchanges, commodity trading advisors, commodity pool operators, proprietary trading firms, pension funds, family offices, sovereign wealth funds, and insurance companies. We also represent all manner of registered and alternative investment vehicles, including mutual funds, closed-end funds, exchange-traded vehicles and business development companies, liquid alternative funds, hedge funds, funds of funds, venture capital funds, private equity funds, commodity pools, securitization vehicles, and bank collective investment funds.
Katten's comprehensive financial services representation draws on the unparalleled depth of knowledge and practical, real-world experience of its attorneys in securities, futures, banking and alternative investment management. Several of our attorneys previously held senior positions with regulatory agencies, including the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Chicago Board Options Exchange (CBOE) and the Department of Justice (DOJ), or served as in-house counsel at financial services firms. With this breadth of experience, we often recognize and resolve issues that other firms cannot.
We assist in structuring, negotiating and documenting loans and traditional financial products as well as structured investments and the full range of exchange-traded and over-the-counter (OTC) derivatives transactions. Our attorneys guide clients through all aspects of regulatory compliance and provide representation in investigations and enforcement actions brought by the SEC, DOJ, CFTC, FINRA, the Federal Reserve Board, the Office of the Comptroller of the Currency, the Consumer Financial Protection Bureau, state regulators, and securities and futures exchanges. In addition, we counsel both first-time and well-established sponsors in the formation of funds in a variety of sectors of the fund industry, including hedge funds, venture funds, private equity funds, liquid alternative funds, leveraged buyout (LBO) funds, mezzanine funds, real estate funds, commodity and futures funds, industry-specific funds, and funds of funds. We also work closely with our clients' legal, operational and technical teams on the whole range of information technology projects, software-as-service and cloud hosting relationships, privacy and data security planning, and data breach responses. Due to the unique combination of regulatory and transactional experience Katten offers, our attorneys are trusted advisors to their clients on a wide variety of legal matters.
We work closely with Katten's Trusts and Estates practice to provide sophisticated, cutting-edge estate planning specifically tailored to the particular issues faced by fund managers, such as using derivatives contracts to transfer the economic benefits of carried interests as well as planning for discounting and unified family asset management through the creation of family limited partnerships and limited liability companies.
Our attorneys counsel asset managers, hedge funds, private equity funds, REITs and family offices on a variety of employment and compensation matters. We assist our clients with every aspect of executive employment matters, including negotiating employment agreements, severance agreements, change-in-control agreements, indemnification agreements, deferred compensation arrangements and long-term incentive plans, and advising on retention issues arising out of mergers and acquisitions and restructurings. For hedge fund and private equity managers, we structure employment agreement relationships with their portfolio managers, executives and senior employees.
We service our financial services clients from an international platform, offering seamless global coverage. Katten's London office works closely with our US offices to provide advice to a broad spectrum of domestic and international financial institutions, fund managers, trading advisors, banks, brokerages, and proprietary trading firms in all aspects of exchange-traded and OTC commodities, securities and derivatives transactions, and EU regulatory matters.
We provide creative, strategic representation while being responsive to our clients' practical and economic needs. Our approach ensures that clients receive the full benefit of our regulatory, product, transaction, tax, employee benefits, employment and compensation, trusts and estates, and litigation experience and that our partnership service model yields long-term relationships.