Also known as market-linked investments, structured products have gained popularity in the United States and are often offered as SEC-registered products suitable for the retail investment market. While this allows providers to offer more investment options, entering the retail market also complicates the regulatory environment. Katten's Structured Products team helps financial institutions, derivatives dealers, and hedge fund and other asset managers achieve business goals and minimize risk in the face of increasing regulation.
Innovators helping innovators
As a longtime leader in this constantly evolving space, we bring an encyclopedic knowledge of products, regulatory issues and compliance solutions — what works, what doesn't and where the industry is going. This perspective allows us to offer ongoing, practical advice concerning the trading, marketing and sales of over-the-counter (OTC) and exchange-traded derivatives, secondary market debt instruments, and structured products. We support our clients' innovation with creative strategies that let them develop, maintain and protect the products they want to offer.
Advice from a broad perspective
Proficient in both the exchange-traded and OTC markets, we counsel clients on structuring, negotiating and documenting a full range of derivatives, investment fund notes and other products with embedded derivative components, including hedge fund-linked, hedge fund replicator, portable alpha and index-linked products. We draw on resources throughout the firm to provide comprehensive advice on all questions that can impact structured products, including real estate, ERISA, and domestic and cross-border tax issues in addition to securities, commodities, insurance and banking laws.
Publication | October 7, 2021
News | May 20, 2021
Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Efforts to Help Underrepresented Business Founders and Investors, and the FCA Continues to Make ESG a PriorityPublication | April 30, 2021
Corporate & Financial Weekly Digest, Featuring Articles on the Latest Staff Announcements From the SEC and a New UK Central Bank Digital Currency TaskforcePublication | April 23, 2021
Corporate & Financial Weekly Digest, Featuring Articles on the Latest Guidance From the SEC on SPACs and a FINRA Reminder for Options AccountsPublication | April 16, 2021