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Henry Bregstein

Partner
henry.bregstein@kattenlaw.com
New York Office
p+1.212.940.6615
f+1.212.940.3808
Overview

Henry Bregstein is the global co-chair of Katten Muchin Rosenman LLP'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, commodity pools, private equity funds, insurance-dedicated funds, illiquid and liquid-alternative funds, family offices, sovereign wealth funds, and investment advisers, as well as banks, broker-dealers, issuers (including those related to ICOs) and life and other insurance companies, in multiple jurisdictions on regulatory, securities, commodities, insurance, tax, fintech, crypto currency and distributed ledger technology, 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 (including quants, global macro, credit and crypto), private equity funds (lending, secondaries, life settlements, credit and real estate), 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 and Chambers USA, where clients commented that he is "commercially driven and technically strong," has "a wealth of experience in hedge fund matters," and is "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.

Shown below is a selection of Henry’s engagements.

Recognition

Chambers Global, Investment Funds – USA, 2010, 2012–2017
Legal 500, Investment Funds–Alternative/Hedge Fund Formation
2008–2017
Who's Who Legal, Private Funds, 2016
Chambers USA - Ranked In, 2009–2017
Best Lawyers in America, Private Funds / Hedge Funds Law, 2018
Advisories
Firm News
Presentations
September 19, 2017
Panelist | Family Office Morning Seminar/Working Breakfast: Appreciate Investment Returns with Reduced Tax Drag | New York, New York
March 2, 2017
March 2, 2017
Panelist | Funds 101 Breakfast Program | New York, New York
September 1, 2016
Speaker | Tax Efficient Investing Through PPVA | AssetTV Interview Shoot | New York, New York
May 2011
Panelist | Life Settlements | 2nd Annual Freeman & Co. Financial Services Conference: New Drivers of Growth
Henry  Bregstein

Education

  • JD, Benjamin N. Cardozo School of Law, magna cum laude
  • BA, University of Pennsylvania

Bar Admissions

  • New York

Recognition

Chambers Global
Investment Funds – USA, 2010, 2012–2017
Legal 500
Investment Funds–Alternative/Hedge Fund Formation
2008–2017
Who
Private Funds, 2016
Chambers USA - Ranked In
2009–2017
Best Lawyers in America
Private Funds / Hedge Funds Law, 2018
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Memberships

  • Association of the Bar of the City of New York, Committee on Commodities and Futures Law
  • New York State Bar Association