Bradley Phipps focuses on representing asset managers of all types, including hedge fund managers, "long-only" managers, real estate managers, commodity pool operators and commodity trading advisors, proprietary trading firms and family offices, as well as institutional investors, in connection with a broad range of securities and regulatory matters including:

  • SEC and CFTC regulatory matters including registration as an investment adviser, commodity pool operator, commodity trading advisor or exemption therefrom;
  • Structuring and documenting domestic and international hedge funds, fund of funds, commodity pools, private equity funds and managed account arrangements; 
  • Structuring asset management firms and advising them in connection with acquisitions, divestitures and reorganizations; 
  • Compliance with applicable regulatory and reporting requirements of the SEC, CFTC, self-regulatory organizations and other related regulatory authorities.

Mr. Phipps also regularly represents financial institutions, funds, insurance companies and public and private companies in relation to a variety of over-the-counter (OTC) and exchanged-traded derivatives matters in relation to foreign exchange transactions, interest rate derivatives, credit derivatives, forwards and commodity derivatives. Such matters include:

  • Regulation and compliance with the derivatives provisions of the Dodd-Frank Act, including swap dealer registration and business conduct standards, reporting, clearing, margining and the cross-border application of such requirements;
  • Negotiation of ISDA Master Agreements, Credit Support Annexes and other collateral arrangements; and
  • Settlement and close-out of OTC derivatives.

Bradley has represented public and private companies in connection with mergers and acquisitions, securities offerings and corporate governance matters.