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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
August 15, 2019
130 Maynard Cooper & Gale Attorneys Listed in The Best Lawyers in America© 2020

Maynard Cooper & Gale is pleased to announce that 130 of the Firm’s attorneys have been recognized as leaders in their practice areas in the 2020 edition of The Best Lawyers in America©, a peer-review guide highlighting attorneys with significant…

August 9, 2019
Maynard Cooper Chairman Named Among Most Influential Executives in Birmingham

Greg Curran, chairman of Maynard Cooper & Gale and member of the Firm’s Corporate Securities and Tax Practice, was named among the 2019 Most Influential Executives by the Birmingham Business Journal. The annual list highlights key leaders from across Birmingham’s…