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Investment Adviser Compliance
OVERVIEW
  • Formation and registration of investment adviser firms
  • Advice concerning the implications of the Dodd-Frank Act and related rulemaking
  • Drafting and reviewing client agreements
  • Implementing compliance policies and procedures
  • Advice regarding insider trading, pay-to-pay, and social media policies
  • Regulatory filings under the Investment Advisers Act of 1940, including Form ADV
  • Advice related to the Investment Advisers Act of 1940
  • Advice related to exemptions under the Investment Company Act of 1940
  • Commodity Futures Trading Commission exemptions and compliance matters
  • Form 13(F) filings for institutional investment managers
  • Schedule 13(D) and 13(G) filings
  • Form 13(H) large trader reporting
  • Assistance with responding to requests for information from the SEC, the Alabama Securities Commission, and other state securities regulators
  • Reviewing advertisements and other marketing materials
  • Evaluating various soft dollar arrangements
LIST OF ATTORNEYS AND OTHER PROFESSIONALS
PRIMARY CONTACTS
May 29, 2020
OSHA Guidance Client Alert

On May 26, 2020, the Occupational Safety and Health Administration’s (“OSHA”) most recent guidance to its Regional Administrators and State Plan Designees took effect. In this guidance—more formally known as the Revised Enforcement Guidance for Recording Cases of Coronavirus Disease…

New Electronic Disclosure Rules Complement Deadline Delays Due to COVID-19

A new safe harbor for electronic disclosures released by the Employee Benefits Security Administration (“EBSA”) complements earlier guidance released by EBSA, the Internal Revenue Service (“IRS”), and the Department of Treasury (“Treasury”).  Together, these regulatory releases provide welcome relief for…