Gregory Larkin

Greg Larkin is a partner in Goodwins Financial Services group and Private Investment Funds practice. He focuses his practice on providing regulatory and compliance advice to financial services firms, particularly investment advisers and sponsors of private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, real estate funds, private credit funds, and infrastructure funds. He has worked primarily on regulatory issues relating to the Investment Advisers Act of 1940 and the Investment Company Act of 1940 in the context of investment adviser registration, regulation and reporting, private fund formation, SEC examinations, mergers and acquisitions, and financing transactions. He has substantial experience assisting firms with respect to regulatory and compliance issues under the Advisers Act with respect to the anti-fraud provisions and the related conflicts of interest and the fiduciary duty issues; the Custody Rule, the Marketing Rule (formerly the Advertising Rule), and the Pay-to-Play Rule; the development and tailoring of compliance policies and procedures; principal and cross-transactions involving private funds; private fund sponsors relying on the venture capital fund adviser or the private fund adviser exemptions; the structuring of non-US private fund sponsors and other investment management firms (with and without a US affiliate or presence), including Unibanco participating affiliate arrangements; joint ventures and staking deals involving US and non-US investment management firms; SPACs (and their sponsors); Advisers Act status issues in reinsurance and other insurance structures; Advisers Act status issues (and other related federal securities law issues) relating to non-traditional or other investment firms that may not be investing in securities; and Advisers Act status issues (and other related federal securities law issues) for family offices. He also has substantial experience with respect to the exemptions under the Investment Company Act relating to private investment fund formation, including funds relying on the traditional exemptions in Sections 3(c)(1) and 3(c)(7) as well funds relying on other exemptions for real estate funds and oil and gas funds; status issues in financing transactions or securities offerings or in other situations; liquidating trusts; employees securities companies (ESCs); and Volcker Rule covered fund issues for banks and insurance companies. He also has substantial experience with respect to the application of the Securities Act of 1933 to private investment funds offering their interests in private placements inside the US and outside the US, including both with respect to offerings with and without a general solicitation. He has co-authored numerous articles, presentations and client updates, made presentations and given trainings on a wide range of investment management regulatory topics. He also participated in the preparation of comment letters regarding rulemaking on a variety of topics, including investment adviser regulations, private placement regulations, the Volcker Rule, family offices, and systemically significant nonbank financial companies.