Money services business registration with FinCEN and state money transmitter licenses
Develop and implement AML/KYC policies and Bank Secrecy Act compliance
Analyze securities law and other regulatory risks and issues — draft opinion letters and no-action requests
Defend against investigations by SEC and other US regulators, such as CFTC and FinCEN
Review whitepapers, business models, and public facing materials
Sustainability And ESG
Portfolio analysis of a sustainability or ESG fund
Consult to investors engaging with boards of directors
Advise and educate board members and C-suite
Analyze risks and opportunities for the company from institutional investors, government regulators, rating agencies, non-governmental organizations, stock exchanges, and more
Recommend actions or changes to a sustainability or ESG plan
Educate on evolving regulatory environment around sustainability and ESG disclosures
Due diligence on ESG issues in investments and mergers and acquisitions
ESG disclosures in SEC filings and for ratings agencies
Securities Law
SEC guidance and policy regarding ESG issues
Exempt securities offerings under Regulation D and Regulation S
SEC filings and disclosure issues
Updates to capital raising regulations
Defend against investigations and enforcement actions regarding sustainability and ESG matters
Corporate Governance
Educate board members on emerging investor concerns
Alert the board to legal threats and risks
Serve on private and public boards in a non-legal capacity as a sustainability, ESG, strategic, and organizational advisor
Give recommendations on corporate policy, including sustainability and ESG matters
Founder and team issues — allocating stock and deciding roles, partnerships
Compensation — stock vesting agreements, stock options (NSOs and ISOs)
Organizational scaling — culture, operations, policies and procedures
Board of directors and board of advisors
People management — hiring and firing, incentives
Strategy
How to develop and iterate the strategy and business model
How legal decisions implicate the strategy, business model, and operations
How strategic, business model, and strategic choices implicate legal concerns and risks
How to achieve business goals with smart legal decisions
Transactions
Draft and negotiate complex business agreements
Assist with financing transactions
Corporate structuring and reorganization
Buy-sell agreements
License agreements
Asset and stock sales and purchases
Investments
Venture capital funds, special purpose vehicles (SPV), and hedge funds – formation, management, relations between general partners and limited partners
Institutional investors — family offices, pension funds, private equity funds
ESG investing — advise on creating and implementing authentic sustainability, impact, and ESG investing strategies
