结构性产品

Financial institution issuers of structured products, their broker-dealer affiliates, distributors, platform providers, and other market participants seek out our market knowledge. Commenting on our market awareness, clients told Chambers USA that they “admire [our team’s] capacity to innovate and [their] ingenuity,” and that our lawyers are “very plugged in to the details of the market,” utilizing that “in an efficient way to craft solutions."

We assist clients from formulation of a new product or new reference index, through new product committee approval, to documentation and, subsequently, assist with regulatory, compliance and oversight issues, as well as with distribution relationships and ongoing program maintenance. We have extensive experience with SEC-registered and exempt offering programs. We can assist with:

Establishing, Modifying and Maintaining Programs. Our lawyers have been involved in establishing programs for many financial institutions, as well as modifying outstanding programs to accommodate new product developments, changing regulatory or tax considerations and changes in market practice.

Securities Law Compliance. Our lawyers work closely with clients to prepare offering documentation that complies with federal, state and international securities laws.

Banking Law Compliance. Our experienced bank regulatory lawyers assist clients subject to US and international banking laws in addressing the regulatory issues faced by such institutions when they use structured products to raise capital. Our clients include US bank holding companies and federal and state chartered banks, as well as foreign banking organizations.

Executing Transactions. We understand that transactions require timely attention. We handle large issuance volumes with rigorous attention to detail and efficient execution.

Tax Analysis and Disclosure. Our tax lawyers are widely considered financial products experts and have extensive experience in analyzing proposed structures. They also assist clients in preparing appropriate tax disclosure for the various types of structured products that may be issued under an issuance program.

Structuring Assistance. We are often asked by clients to assist with product development and index development. Product development may involve analysis of applicable securities and banking laws, consideration of market practice, knowledge of the related derivatives and commodities market and analysis of relevant tax and ERISA issues. Our lawyers are known for their creativity.

Client Resources
We regularly offer our clients training programs and provide updates on SEC, FINRA and other developments.