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Regulatory Issues with Alternative Fund Structures

06/25/2020 @ 15:00 - 16:00

The third webinar in a series delivered by Alston & Bird’s Investment Management team. Attorneys will cover broker-dealer requirements and 40 Act compliance.


David Baum: Registered investment companies receive exceptional counsel from David. He helps clients navigate SEC regulations, most frequently the Investment Company Act of 1940, related to investing and trading in securities.

Martin Dozier: Martin’s broad experience advising public and private investment funds on complex securities and structuring matters includes more than $30 billion in capital-raising transactions. An active participant in investment management organizations and a frequent speaker, he provides insight to fund sponsors and investment management companies seeking to structure innovative investment fund offerings.

Tim Foley: Broker-dealers rely on Tim’s informed guidance to navigate complex regulatory and enforcement matters involving the U.S. securities markets. They also appreciate his extensive knowledge of equity and fixed income sales, trading, and reporting practices.

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