PRACTICE

Securities and Investment

 

Securities Transactions and Financings

Gamma Law supports clients with securities and investment transactions, including venture capital and other equity, convertible note and debt financings. Our lawyers have worked for the world’s largest law firms, based in New York, Tokyo and other international financial centers, working on billion-dollar public offerings, debt facilities, and private placements. Our lawyers are experienced with initial public offerings, SEC compliance, and preparation of disclosure documents. We represent both issuers and investors in financings and securities transactions of all types.

For emerging-company clients, Gamma Law regularly advises on seed financings, angel investments, and venture capital rounds as well as strategic investments. We are familiar with SAFEs and other convertible note structures and can support clients with equity crowdfunding and “Reg. A+” offerings and Rule 506(c) placements.

We also support clients with secondary transactions and related SEC and state securities compliance, including founder exits, transfers among shareholders, and stock repurchases.

WHAT WE DO

Core Practice Areas

Blockchain Business Models & Token Strategy

We help companies structure, launch, and scale blockchain-based businesses — from in-game economies and NFT platforms to token offerings and employee incentive programs.

  • Blockchain in-game economy design & counsel
  • NFT platform structuring & launch support
  • Token-based financing (public & private)
  • Token-based employee incentive plans
  • Smart contract review & risk mitigation
  • Digital asset fund formation & management
Regulatory Compliance & Securities Counsel

We guide digital asset businesses through the complex and evolving regulatory landscape — from securities law and KYC/AML to money-transmission rules and SEC/CFTC guidance.

  • Securities law compliance & token classification
  • KYC/AML program development & review
  • Money-transmission regulatory guidance
  • SEC/CFTC regulatory monitoring & positioning
  • DAO governance, structuring & legal entity wrappers
  • Dispute resolution, fraud & enforcement defense
Transactions, Financing & General Counsel

We bring deep transactional expertise to digital asset deals of all sizes — and serve as a trusted virtual general counsel partner for companies operating in this space.

  • Multi-billion dollar debt & equity financings
  • Investment fund formation & fundraising
  • Cross-border digital asset transactions
  • Strategic partnerships & licensing agreements
  • AR/NFT & metaverse venture support
  • Virtual general counsel & day-to-day legal management

TRACK RECORD

Selected Transactions

  • Represented Japanese public company in $10 million Series B strategic investment in US digital device logistics startup.
  • Represented organic foods company as issuer in $6 million Series A and B LLC unit rounds with international social investment funds.
  • Represented VR technology startup as issuer in $2 million convertible note financing with premier Silicon Valley investment firms.
  • Represented Japanese public company in $8 million two-tranche Series B investment in education technology startup.
  • Represented Hong Kong e-commerce company with high-profile institutional investors as issuer in $2.5 million Series C round.
  • Represented international technology investment fund in proposed investments in various early-stage companies.

Ready to talk?

Contact us to learn more about Gamma Law’s securities and investment practice
and how we can help you achieve your objectives.

CONTACT GAMMA LAW