Gerald A. Francese

Gerald Francese concentrates his practice in financial services, private equity, corporate finance, and bank and investment adviser regulation.

Gerald has extensive experience representing financial services institutions, investment advisers and investment companies, public and private companies and investors in complex transactions and risk management. He regularly advises in fund formation, regulation and investment, private placements, mergers and acquisitions, rights and exchange offers, asset transactions, hostile takeovers and going-private transactions. Gerald has overseen and managed teams responsible for legal compliance of all aspects of investment management and investments domiciled in over 40 countries across the Americas, Europe and Asia Pacific. He also advises on financial products, including investment custody, corporate governance and regulatory compliance. Recently, Gerald has become active advising financial institutions on compliance with the Foreign Account Tax Compliance Act, or FATCA. He has built, in collaboration with technology and software vendors, an automated FATCA compliance solution for global financial institutions.

His in-house experience included advising the firm to manage its proprietary and private equity portfolios, while complying with the regulatory rubric of the Bank Holding Company Act and FRB, OCC, FDIC and SBA oversight, applicable insurance laws, FERC, FCC and gaming regulations and numerous other US and non-US regulatory regimes. Gerald assisted the firm with several multibillion-dollar mergers and acquisitions, proprietary private equity and public securities acquisitions and dispositions, proprietary portfolio regulatory compliance, investment adviser registration and regulation, business unit sales and spinoffs, joint ventures and public offerings of debt and equity securities. He served as compliance executive to the firm's businesses that managed tens of billions in proprietary investments and private equity portfolios and as chief compliance officer to captive registered investment advisers. He also advised on legal and information wall requirements to coordinate the firm's global investment banking, sales and trading, proprietary investing and research businesses.

Good to know

Areas of Practice 1) Corporate, 2) Finance, 3) Private Equity and 4) Insurance and Reinsurance Disputes
Law School J.D., University of Connecticut School of Law, 1998
Education B.A., Social Sciences and History, Roger Williams University, 1996
Bar Member / Association New York City Bar Association, Connecticut Bar Association, Rhode Island Bar Association
Most recent firm DLA Piper
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