Opalesque Industry Update - Three veteran asset management attorneys who have served as in-house counsel, outside counsel, and government regulatory counsel in the U.S., Asia and Europe have formed the law firm Guzman Advisory Partners (GAP).
GAP offers asset management firms comprehensive legal services that investment advisers have traditionally sourced from in-house counsel - forming and structuring funds; reviewing sales, marketing and advertising materials; structuring products and transactions; drafting disclosures, interpreting laws and regulations; and interacting with regulators, among others. "If you don't have an in-house GC, we can fill that role on an outsourced basis," said Roseanne Harford, the firm's managing partner, who, with partners Brian Guzman and Julia Hanks, launched GAP. "GCs who require in-house support turn to GAP as an alternative to increasing headcount, which is particularly important as asset managers navigate the Covid era. In-house GCs appreciate the option of outsourced in-house support to help them handle temporary surges in legal work, such as year-end reviews, audits, and special projects, including new lines of business, new distribution channels, and acquisitions." "The key to GAP's value is our in-house experience - we've all sat in the chair. We understand the needs of asset managers and their GCs - in both traditional times and in these uncharted waters - so we can step in as needed and get straight to work, with the business-minded, practical, and problem-solving approach that in-house legal work demands," Harford said. In forming GAP, Guzman, Harford and Hanks are leveraging their backgrounds representing and regulating asset managers. They advise domestic and global investment management firms, venture capital and alternative investment funds, and family offices on a myriad of legal and regulatory issues. From sector-specific needs to broader, general corporate practice, GAP's partners have experience providing the legal, regulatory and business guidance their clients require. Brian Guzman is former general counsel of Indus Capital Partners, where he had served for nearly 14 years as a partner and member of the management committee. He is well versed in the issues that managers face when they register and open offices in Asia. Before Indus, Brian practiced investment management law at Seward & Kissel. He earned his law degree from Brooklyn Law School after graduating from New York University Stern School of Business. Roseanne Harford has served in both public and private sector roles. She was senior consultant to Patomak Global Partners, assisting US and UK advisory firms with regulatory compliance. She has also counseled investment advisers as director of compliance and associate general counsel at the asset management subsidiary of UBS Paine Webber. In the public sector, Roseanne has led policy and strategy efforts at the UK Financial Conduct Authority (FCA) and served as senior counsel in regulatory policy office of the US Securities and Exchange Commission's Division of Investment Management. Roseanne began her career as an associate at White & Case. She earned her law degree from New York University School of Law and her undergraduate degree from Princeton University's School of Public and International Affairs. Julia Hanks served as counsel to Indus Capital Partners for seven years after practicing at Seward & Kissel, where she was part of the Investment Management Group. She is experienced in assisting advisers with registration and ongoing compliance in US and non-US jurisdictions. She earned her law degree from Vanderbilt University Law School and her undergraduate degree in English from Princeton University.
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Industry Updates
In-house pros unveil new law firm for GC services
Thursday, October 08, 2020
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