Securities, Investment Funds & Fintech

The Securities, Investment Funds & Fintech Practice Group offers clients a wide range of services in relation to investment funds, securities, capital markets, digital assets and financial products.

These include providing legal advice with respect to:

• the application of Bahamian law and regulatory requirements to cross border securities activities;
• the enforceability of netting and collateral arrangements under various industry agreements and related documents;
• the offering of securities by issuers in The Bahamas;
• securitizations;
• the requirements for the registration of offering documents with the relevant regulator;
• the requirements for the licensing and regulation of entities wishing to conduct broker-dealer services or investment management services in or from within The Bahamas; and
• the process for setting up an investment fund regulated by the laws of The Bahamas.

With respect to investment funds, the firm’s attorneys provide advice in relation to:

• the underlying fund structure and the establishment of the investment fund vehicle (corporation, partnership, investment condominium or trust);
• the requirements to set up the investment fund, including the drafting of the memorandum and articles of association or other constitutive documents; and
• the preparation of the offering document and the material contracts of the investment fund.

The team’s extensive knowledge and hands-on experience in the financial services industry facilitates strategic legal solutions necessary for fintech clients to maintain a presence with evolving platforms, technologies and services in this space. We work closely with clients on legislative and regulatory issues with respect to financial services and payment systems. This group draws on their capabilities in mergers and acquisitions, corporate finance, financial regulation and enforcement to adequately counsel businesses across the spectrum of the fintech industry.

Additionally, our knowledgeable and experienced attorneys assist clients with the preparation and filing of regulatory applications and compliance documents and counsel clients on the ongoing regulatory requirements for investment funds and the parties related to investment funds as well as in respect of the ongoing regulatory requirements for public issuers, broker-dealers and other securities intermediaries.

The chair of this practice group is a member of the Project Team appointed by the Securities Commission of The Bahamas to draft the new Investment Funds legislation.