Firm News | November 1, 2021
January 3, 2023, NEW YORK – Premier boutique law firm Kleinberg Kaplan announces the promotion of two associates, Moshe Segal and Derek Stueben, to the firm partnership, effective January 1, 2023. Moshe is a member of Kleinberg Kaplan’s Private Funds & Investment Management group and Derek is a member of the firm’s Corporate Transactional &…
Firm News | January 3, 2023 | Investment Management | Executive Compensation | Hedge Funds | Private Equity Funds | Digital Assets and Cryptocurrency | Emerging Companies & Venture Capital | Mergers & Acquisitions | Securities and Corporate Finance
The Securities and Exchange Commission (“SEC”) adopted sweeping amendments to the rules that govern advertising by investment advisers and payments to solicitors under the Investment Advisers Act of 1940, as amended (“Advisers Act”). These amendments combined the prior rules governing advertising and paid solicitation into a single revised Rule 206(4)-1 (the “Marketing Rule”).1 All investment advisers registered,…
Client Alerts | October 12, 2022 | Hedge Funds | Investment Management | Private Equity Funds
Getting out ahead of mandatory standards could bring organizational improvements and boost assets under management Within an asset management firm’s website may be a page that signals its commitment to diversity, equity, and inclusion (“DEI”) in ownership, leadership, employment and even investing practices. The commitments and aspirations are both admirable and responsive to the increased…
Client Alerts | September 29, 2022 | Hedge Funds | Investment Management | Private Equity Funds
Premier boutique law firm Kleinberg Kaplan announced that it has been recognized by Chambers Global 2022 for its work on behalf of the world’s leading hedge funds. For the third year in a row, the firm was ranked in the “Hedge Funds (USA)” category, and partners Jamie Nash and Jason Grunfeld were named leading lawyers.…
Firm News | February 17, 2022 | Hedge Funds | Investment Management
Kleinberg Kaplan client, Paulson & Co., Inc., was a lead investor in a recent Series E Preferred Share capital raise for Ambri Inc., a developer of a new battery technology that will enable power grids to operate more efficiently using stored renewable resources. The funds from this round will be used in new manufacturing facilities…
Firm News | August 18, 2021 | Mergers & Acquisitions | Investment Management | Hedge Funds
On June 17, 2021, the U.S. Securities and Exchange Commission (the “SEC”) issued an order (the “Order”1) increasing the dollar amount tests in order to qualify as a “qualified client” in Rule 205-3 (the “Rule”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). As described below, these changes will be effective…
Client Alerts | August 2, 2021 | Investment Management | Hedge Funds | Private Equity Funds
Premier boutique law firm Kleinberg Kaplan announced that it has been recognized by Chambers Global 2021 for its work on behalf of the world’s leading hedge funds and alternative investment funds. For the second year in a row, the firm was ranked in the “Investment Funds: Hedge Funds (USA)” category, and co-leader of the firm’s…
Firm News | February 18, 2021 | Hedge Funds | Investment Management
Premier boutique law firm Kleinberg Kaplan has announced that David Pentlow has joined the firm as Senior Counsel in its Private Funds & Investment Management Practice. Mr. Pentlow has extensive experience representing private equity funds, hedge funds, real estate funds and other investors, financial institutions, and issuers – from start-ups to established public companies –…
Firm News | February 16, 2021 | Private Equity Funds | Hedge Funds | Real Estate Funds | Investment Management | Securities and Corporate Finance | Mergers & Acquisitions | Business Restructuring and Reorganization
Premier boutique law firm Kleinberg Kaplan announces the promotion of Joshua Guttman to partner effective January 1, 2021. Since 1971, New York-based Kleinberg Kaplan has been a leader in advising hedge and private equity funds, sophisticated business ventures, prominent real estate operators, and family offices. “I am pleased to announce the promotion of Josh Guttman to partner,”…
FEATURED PUBLICATION | January 4, 2021 | Hedge Funds | Private Equity Funds | Investment Management
On August 26, 2020, the Securities and Exchange Commission (the “SEC”) adopted previously proposed amendments (the “Amendments”) that expand the definition of “accredited investor” (or “AI”) applicable to private placements under Regulation D, and the definition of “qualified institutional buyer” (or “QIB”) under Rule 144A, each under the Securities Act of 1933, as amended (the…
Client Alerts | November 9, 2020 | Investment Management | Securities and Corporate Finance
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