Welcome to Kilpatrick Townsend’s Investment Management News & Notes. This is a blog-style news summary that briefly summarizes some of the most significant investment management-related legal and regulatory developments. In particular, we will focus on developments that we believe are relevant to our investment management clients. While the News & Notes does not provide legal advice, our goal is for the information provided to help keep you up to date with many of the significant legal and regulatory developments in the investment management industry.
Kilpatrick Townsend’s Investment Management team helps design and implement effective compliance programs to keep abreast of legal developments at the state and federal level. We are experienced in the representation of investment advisers in proceedings with the Securities and Exchange Commission (SEC) and state securities administrators. We assist with filing and registration obligations at the state and federal level, and provide ongoing counseling regarding compliance responsibilities under applicable state and federal law.
We also offer “mock” SEC examinations to help clients prepare for actual regulatory examinations and act as advocates for our clients responding to SEC deficiency letters. Although most issues raised by the SEC or state securities administrators for our clients are fairly routine, on occasion examinations uncover more serious violations or deficiencies. In these cases, we work closely with clients and regulatory authorities to correct the deficiencies and avoid enforcement actions.
For more information about Kilpatrick Townsend’s Investment Management team, please click here.