Ongoing Fund Operations & Governance
We advise fund sponsors throughout the operational life of their funds, helping them manage change, mitigate regulatory risk, and make legally sound decisions as their funds grow and evolve.
How We Help
Investor Admissions, Redemptions & Transfers
- Legal review and structuring of investor admissions, redemptions, and transfers
- Analysis of governing document constraints, liquidity provisions, and exemption availability
- Coordination with administrators and dealers on legally compliant execution
- Guidance on secondary transfers, redemptions, and exceptional investor events
Fund Amendments & Supplemental Offerings
- Amendments to LPAs, trust documents, OMs, PPMs and subscription materials
- Structuring and documentation of top-up raises and supplemental offerings
- Investor consent mechanics and disclosure updates
- Securities and governance risk assessments
Governance, Conflicts & Related-Party Transactions
- Governance advice for GPs, trustees, boards, and managers
- Identification and management of conflicts of interest
- Structuring and disclosure of related-party transactions
- Support for decision-making processes and internal approvals
Disclosure & Regulatory Communications
- Ongoing disclosure advice for exempt funds
- Material change analysis and disclosure planning
- Drafting and managing communications with regulatory bodies
- Support during regulatory inquiries, desk reviews, and compliance sweeps
Ongoing Securities Law & Compliance Advisory
- Ongoing advisory support on securities law and exempt market obligations
- Annual and periodic compliance reviews
- Form 45-106F1 and related filing oversight
- Compliance calendars and regulatory risk monitoring
Typical Clients
- Private fund sponsors and managers
- Real estate, mortgage, and alternative asset funds
- Multi-fund platforms requiring ongoing legal support
- Sponsors operating under monthly legal advisory retainers
Engagement Model
Fund Operations & Governance services are typically provided through monthly retainer arrangements, offering predictable access to senior securities counsel for ongoing operational, governance, and compliance matters.
