News

News

SEC Amends Form ADV

Monday, August 29, 2016

     Last week the U.S. Securities and Exchange Commission announced the adoption of amendments to Form ADV, ...

OCIE’s Share Class Initiative

Friday, July 29, 2016

The SEC’s Office of Compliance Inspections and Examinations released a risk alert on July 13, 2016 introducing...

Client Alert: New Standards for Retirement Advice

Thursday, April 7, 2016

Yesterday, the Department of Labor issued a long-awaited rule that amends the definition of “fiduciary” unde...

Client Update: Fund Formation & Investment Management

Monday, April 4, 2016

Uniform Fiduciary Duty Standard Google searches for “fiduciary duty” have spiked recently, and taking into ...

Client Update: Fund Formation & Investment Management

Wednesday, January 13, 2016

Annual Updating Reminder   Each state and federally registered investment adviser must file an annual updatin...

Fund Formation & Investment Management

Monday, October 12, 2015

Private Fundraising on the Internet: The U.S. Securities and Exchange Commission (“SEC”) recently issued a ...

SEC Guidance on Privately Offered Securities under the Investment Advisers Act Custody Rule

Sunday, August 25, 2013

The Securities and Exchange Commission (“SEC”) recently provided limited relief to investment advisers to au...

ERISA 408(b)(2) Disclosure Deadline of July 1, 2012 Quickly Approaching

Tuesday, April 24, 2012

The following Client Alert may be of interest to certain investment managers and advisers to ERISA plans and/or ...

Fund Formation and Investment Management Practice Group Alert

Thursday, January 20, 2011

Deadlines Quickly Approaching in Form ADV Part 2 Overhaul On July 28, 2010, the U.S. Securities and Exchange Co...

Maynard, Cooper & Gale Announces the Formal Organization of its Fund Formation and Investment Management Practice Group

Wednesday, December 1, 2010

Maynard Cooper & Gale, P.C. is pleased to announce the formal organization of its Fund Formation and Invest...