Overview
Maynard Nexsen's Investment Advisor Compliance Group has a market-leading practice representing investment managers in all aspects of their businesses, including:
- 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