Regulatory and general counsel for investment advisers, commodity advisers, broker-dealers and other financial services providers

  • Problem: growing investment managers and broker-dealers need frequent legal advice but cannot justify a full-time general counsel. Hiring traditional law firms for small, daily questions or projects leads to unpredictable billable hours and advice that may not be well tailored to the stated goal or larger business.

  • Solution: an embedded external general counsel. Gerardo has spent almost two decades advising investment managers and broker-dealers from the inside. Gerardo understands that legal advice must be practical and risk-aware to be actionable. From Talamo Law, you will receive advice tailored to your business needs with clear and reliable pricing.

  • Engagement Models:

    • Fixed-price services. A fixed price for derivatives contracts and counterparty onboarding, investor agreements, vendor contracts, financing and trading agreements.

    • Project-based strategic advisory. Dedicated, fixed-scope engagements for fund launches, distribution strategies and other projects

    • Monthly fractional retainer. A fixed monthly fee for ongoing, predictable general counsel support

Regulatory Advice

Whether you are standing up a new business line in a regulated space, complying with regulatory change or seeking general advice, Talamo Law can advise upon and implement compliance programs involving US and many non-US regulatory regimes, including the SEC, CFTC, FINRA, Financial Conduct Authority, ESMA and EU National Competent Authorities (AIFMD, MiFID) and other non-US regulators.

Investor Agreements

Talamo Law can review and draft private fund agreements for fund investors and sponsors, including LPA’s, offering memoranda, Subscription Documents, Side-Letters, Investment Management Agreements, Custody and Administration Agreements.

Derivatives and Financing Agreements

Talamo Law negotiates derivatives and financing agreements and coordinates counterparty onboarding.

Agreements include: Prime Brokerage, FX Prime Brokerage, Fixed Income Prime Brokerage, ISDA and CSA, Listed Options , Futures, Cleared Derivatives Addendum, GMRA, MRA, MSFTA, Master Confirmation Agreements (MCA), Trade Confirmations, Tri-Party Collateral, Custody (ACA/CCA), Cleared Derivatives Execution Agreement, Master Netting/Bridge Agreement, Electronic Trading, and Cash Sweep.

Vendor Agreements

Talamo Law can provide business-focused and risk-aware negotiations of counterparty and vendor agreements.

Agreements include: NDA’s, brokerage, research, cyber-security, data provider, valuation agent, employee benefits, OMS services, outsourced IT (IT MSP), HR (PEO), compliance, CFO and trading.