Adam D. Kanter

Investment Management Matters

Adam has advised clients on a wide range of investment management matters, including formation, registration, and ongoing compliance issues of investment advisers and investment companies. Clients turn to him when adapting to new regulations, such as the amended marketing rule under the Investment Advisers Act of 1940, and the amended fair value rule under the Investment Company Act of 1940. Additionally, he helps with the preparation of compliance policies and procedures, registration statements, proxy statements, "no-action" letter requests, exemptive applications, comment letters, and corporate documents.