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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
October 15, 2019
Maynard Cooper & Gale Expands Footprint to Nashville

National law firm opens tenth office with the addition of Nashville-based McKenzie Laird Ottinger + Leach Maynard Cooper & Gale (Maynard Cooper) has expanded its national footprint to Tennessee with the opening of a Nashville office and the addition of…

October 11, 2019
LAUREN DEMOSS AND LELAND MURPHREE NAMED “RISING STARS OF LAW”

Maynard Cooper’s Lauren DeMoss and Leland Murphree were named “Rising Stars of Law” by the Birmingham Business Journal (BBJ) for 2019. The list highlights talented lawyers in the Birmingham area selected for their contributions to their firms and their potential to…