An internationally recognized expert, advisor, and counsel, Jonathan Kim views every complex commercial matter through a “progressive legal/business lens” versus a purely legal optic. He provides legal and strategic advisory services for select clients on:
- Complex capital market, merger & acquisition (M&A), and general corporate transactions.
- Alternative and private investment opportunities, domestic and foreign.
- Corporate governance/best practices and risk management.
- Regulatory and compliance obligations.
- Board-related matters.
Jonathan’s strategic advice, case management, and bespoke services as Lead Counsel help to contain outside legal costs and maximize the value generated through business transactions. This approach allows you to customize his firm’s services to meet your distinct needs.
Jonathan’s approach is founded upon over three decades of legal and business experience obtained in private practice and operational management roles and in-house settings in various U.S. and various international jurisdictions.
Capital Markets, Mergers & Acquisitions (M&A) and General Corporate
Jonathan works extensively with both start-up companies focused on rapid growth and seasoned companies focused on sustained profitability as well as
- institutional, private equity, and venture capital investors,
- hedge funds and the sponsors of other private investment opportunities, and
- the owners of small to mid-sized closely-held businesses contemplating exit transactions and similar liquidity events.
He has led numerous public equity, debt, private placement, and investment fund offerings in the U.S. and abroad. In addition, he has extensive experience with the negotiation and documentation of structured finance/securitized instruments and financial transactions.
Identification and Supervision of Co-Counsel
As Lead Counsel for select clients, Jonathan helps to minimize outside legal costs by identifying suitable Co-Counsel to handle all legal and deal-making services on strategic corporate matters, retaining Co-Counsel on behalf of such clients, and overseeing the work of Co-Counsel during the course of their representations.
His list of Approved Co-Counsel has been assembled from his vast network of lawyers and law firms developed over three decades, and his determination of their suitability is based upon his extensive in-house experience as General Counsel to both private and publicly-listed companies.
Jonathan has been retained by select clients to serve as an Outside or Interim General Counsel and Strategic Advisor to various start-up companies including, but not limited to, companies in the insurance, consumer products, entertainment, SaaS, healthcare, and crypto-blockchain sectors.
Governance and Risk Management
Jonathan has successfully designed implemented comprehensive governance programs across a broad range of jurisdictions. He advises on governance matters and best practices for a broad range of entities, including:
- Fortune 500 companies,
- early stage entrepreneurial ventures, and
- not-for-profit organizations.
Jonathan helps clients to identify, quantify and manage risk, including risk-reward analyses, risk reporting, and the formulation of responses to emerging risks from an enterprise-wide and D&O standpoint.
Regulatory and Compliance
Jonathan has constructed regulatory and compliance programs from the ground up. He acts on behalf of clients and companies as a Chief Compliance Officer and/or the primary intermediary between private and publicly-listed entities and regulators in multiple U.S. and international jurisdictions, including the SEC, CFTC, NYSE, LSE, FCA/PRA, FINMA, IRS, and U.S. Treasury Department, among others.
His compliance background includes experience with the following:
- Emerging regulatory and compliance issues in the digital asset/cryptocurrency/blockchain sectors,
- Investment Company Act of 1940 (’40 Act),
- Investment Advisers Act of 1940 (IIA),
- Alternative Investment Fund Managers Directive (AIFMD),
- Office of Foreign Assets Control (OFAC),
- Foreign Corrupt Practices Act (FCPA),
- Sarbanes-Oxley (SoX),
- Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank),
- Health Insurance Portability and Accountability Act (HIPAA),
- Foreign Account Tax Compliance Act (FATCA),
- Anti-Money Laundering (AML) requirement of multiple regimes,
- New York State Department of Financial Services (NYSDFS) Cyber-security Regulation,
- General Data Protection Regulation (GDPR) and
- Numerous aspects of Privacy Law across multiple jurisdictions.
Boards of Directors
Jonathan serves on private and not-for-profit boards and associations and has advised the boards of publicly-listed companies on a broad range of governance, transactional, and crisis-management situations.
He has also served in various corporate secretarial roles and has extensive experience with the qualification and independence of directors and board oversight of executive compensation matters.