Mr Henry Bregstein > Katten > New York, United States > Lawyer Profile
575 MADISON AVENUE
NEW YORK, NY 10022-2585
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Mr Henry Bregstein
Henry Bregstein is the global co-chair of the firm’s Financial Services practice and a member of the firm’s Board of Directors. In his role as partner in the Financial Services practice, he advises alternative investment managers, hedge funds, private equity funds, family offices, sovereign wealth funds and investment advisers, as well as banks, broker-dealers (including online third-party marketers), and life and other insurance companies in multiple jurisdictions on regulatory, securities, commodities, tax, insurance, finance, licensing, corporate and other legal matters.
Henry provides guidance on fund formation and regulatory compliance and advice related to all types of alternative investment funds and accounts, including hedge funds, private equity funds, insurance-dedicated funds (including bank-owned, insurance company-owned and corporate-owned life insurance (BOLI, IOLI, COLI)), tax efficient funds, funds of funds and managed account platforms. In this capacity, he counsels clients on the structure and documentation of alternative investment derivative and other over-the-counter derivative products, as well as hedge fund lending transactions, subscription finance, prime broker leverage and various insurance-related products. Henry regularly assists his clients with regulatory matters, such as responding to US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) requests.
Henry’s evolving practice also includes regulatory enforcement and litigation matters. He represents market participants in regulatory investigations and counsels clients on a variety of compliance concerns. He represents clients and their associated persons before the SEC and the Commodity Futures Trading Commission (CFTC) and other regulators and self-regulatory organizations in investigations and enforcement proceedings.
Henry provides organizational and investment counsel to investment advisers, introducers and broker-dealers relating to due diligence, risk assessment and controls, fee arrangements, structured and other types of agreements, strategic investments and structuring joint ventures. Henry also advises on matters concerning the transfer, utilization and licensing of intellectual property by broker-dealers and investment advisers. In his private equity transactions, securities and general corporate practices, he focuses on private offerings of debt and equity, joint venture agreements, commercial lending and acquisitions of subsidiaries, structuring of private equity transactions and investments for operating companies.
Henry is frequently mentioned in the media and lauded by clients and colleagues alike for his work representing fund clients. He has been recognized by a number of hedge fund and investment industry rankings and publications, including Chambers Global 2015, where clients commented that he has “a wealth of experience in hedge fund matters,” and in the 2014 edition of Chambers USA, which describes him as “one of the smartest lawyers in the business.” Henry was also recognized by The Legal 500 as a Leading Individual for Investment Funds. Additionally, he was named the “Distinguished Business Law Practitioner in Residence” at Widener University Commonwealth Law School and serves on the advisory board of Mercury iFunds™.
Largely considered an innovator in his field, Henry holds two patents and has one patent application pending. He was granted a patent for a multi-level leverage account structure, allowing multiple classes of investors with differing leverage objectives to establish an investment structure that takes advantage of both the master-feeder structure and the reverse master feeder structure with segregated accounts in the same master fund. Henry’s pending patent application involves a tax-deferred fund in which investors can obtain exposure to variable annuities and life insurance policies in a hedge fund structure with income tax deferment or elimination.
Mr. Bregstein is a member of the following organizations: New York State Bar Association, New York City Bar Association and the NYCBA Committee on Commodities and Futures Law.
JD, Benjamin N. Cardozo School of Law, magna cum laude, 1993; BA, University of Pennsylvania, 1970
United States > Finance > Financial services regulation
Combining ‘the highest-caliber legal intelligence with carefulness and cross-sectional business knowledge‘, Katten provides ‘user-friendly, responsive and commercial advice‘ to clients on both the buy and sell side. A particular strength of the firm is its ‘broad knowledge of derivatives law‘, where clients appreciate its ability to provide ‘practical, real-world advice‘ on the regulatory issues impacting exchange-traded and OTC derivatives across all asset classes and transaction types. Working alongside the firm’s London office, New York-based of counsel Guy Dempsey is assisting ICBC Standard Bank on all aspects of commencing a new swap business and registering as a swap dealer with the Commodity Futures Trading Commission (CFTC). Chicago-based practice co-head Lance Zinman has an excellent understanding of the regulatory regimes underpinning activity undertaken by hedge funds and proprietary trading firms. Alongside New York-based Allison Yacker, he recently advised Waterfall Asset Management on the creation of a fund structure that facilitates investment by non-US persons in assets that generate income effectively connected to a US trade or business. Wendy Cohen is recognized as a ‘standout practitioner‘ for broker-dealer matters and is a key member of the team, as are ‘rock star‘ Henry Bregstein and Arthur Hahn, who also co-head the team from New York and Chicago, respectively. Other clients include Royal Bank of Canada, UBS and Futures Industry Association.
Top Tier Firm Rankings
- Labor and employment > Workplace and employment counseling
- Finance > Structured finance: securitization
- M&A: middle-market (sub-$500m)
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Real estate > Real estate
- Finance > Structured finance: derivatives and structured products
- Media, technology and telecoms > Advertising and marketing: transactional
- Investment fund formation and management > Alternative/hedge funds
- Finance > Commercial lending
- Intellectual property > Copyright
- Industry focus > Environment: litigation
- Industry focus > Environment: regulatory
- Dispute resolution > Securities litigation - defense
- Intellectual property > Trademarks: litigation
- Industry focus > Transport: aviation and air travel - finance
- Dispute resolution > Financial services litigation
- Media, technology and telecoms > Media and entertainment: transactional
- Finance > Restructuring (including bankruptcy): corporate
- Industry focus > Sport
- Dispute resolution > Corporate investigations and white-collar criminal defense
- Dispute resolution > General commercial disputes
- Industry focus > Healthcare: service providers
- Media, technology and telecoms > Media and entertainment: litigation
- Private equity buyouts
- M&A/corporate and commercial > Private equity buyouts
- Tax > US taxes: non-contentious
- Finance > Financial services regulation