Michael G. Tannenbaum

About Michael G. Tannenbaum

My law practice – providing legal services to the wealth advisory industry as to investment management, financial services and capital markets matters – advises on the \"sell side\" a global roster of private equity and hedge fund sponsors regarding US and offshore mandates, fund formation, SEC matters, full range, and on the \"buy side\" investor due diligence (deal analysis, red flag reviews, side letters, co-invest structures, taxation, etc) to UHNWs, non-profits and endowments, and family offices as to governance, regulatory, compliance, tax, and investment matters. I regularly assist non-US professionals with matters of US law for their non-US clients as to inbound US aspects. Our work includes US securities law, SEC, CFTC, and FINRA rules, regulation and compliance relating to registered and non-registered investment advisers and private funds, as well as wealth management platforms, family office regulation and other financial service matters. This includes private equity portfolio transactions, seed arrangements, index products, exchange-traded funds, commodity pools, M&A and related corporate, tax, executive compensation, ERISA, cross-border matters, and dispute resolution. Clients include investment advisers, funds, fund sponsors, multi-manager and fund-of-fund platforms, principals, global institutions, and family offices. Personal expertise includes successfully rendering arbitration and mediation services to resolve disputes among owners of financial services companies. Since 2017, I have serves as President of Partners in Hearing, Inc. a 501c3 pubic charity supplementing therapy and eduction to children who are profoundly deaf and who benefit from cochlear implants.(Note: This profile may constitute attorney advertising in certain jurisdictions.)

Experience

1. Founding Partner

   Tannenbaum Helpern

   Mar 1978 — Present · New York, NY, US

   Concentration: United States (US) regulatory (SEC CFTC FINRA) and securities issues, SEC registration and Internal Revenue Service (IRS) tax matters involving investment managers and advisors under current financial services and securities law and 1940 Investment Advisers Act and Investment Company Act regulation including Dodd Frank legislation. SEC compliance.• Founder of the law firm\'s Investment Management Group.• Private funds, hedge funds, master feeder arrangements, fund formation, private equity, law, regulation and venture capital transactions. Fund formation, product development and documentation. US based and offshore (tax haven) arrangements.• Private placements, Reg D and crowdfunding.• Due diligence services with regard to alternative investments for banks, multi manager platforms, funds of funds, high net worth private investment platforms and family offices. • Family office law and regulation, succession and estate and gift tax planning, wills and trusts. • Taxation. FATCA. US and cross border transactions. ERISA.\"Check the box\" tax issues. Executive compensation, portfolio management agreements, deferred compensation and employee benefits.• Litigation, arbitration, mediation and dispute resolution. SEC and IRS investigations and defense. Consulting and expert witness services. • Cross border matters: Advice to non US professionals for non US clients with regard to matters of US law.• Complex seed transactions and benefit sharing arrangements; first loss funds; leverage financing; portfolio management and employment agreements; structured finance. • Corporate law. Mergers, acquisitions, consolidations, creditors and debtors rights, insolvency and distressed credit issues. Limited liability company and partnership operating agreements.

Education

• Fairleigh Dickinson University

  Bachelor of Science (B.S.), Biology and Chemistry

  1963 — 1967

• New York University School of Law

  Master of Laws (LLM), Taxation

  1970 — 1971

• New York Law School

  Juris Doctor (JD), Law

  1967 — 1970