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Arthur Don has more than 30 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in a variety of sophisticated securities transactions. His experience includes various aspects of investment company practice, from organizing new funds through acquisitions and mergers of funds. Arthur has represented issuers and underwriters in numerous public offerings. He also frequently advises independent directors on fiduciary duties, and advises clients on compliance policy issues.

Proxy advisory firms (Proxy Firms) have long provided institutional investors advice and recommendations with respect to management and shareholder proxy proposals. In recent years, the Securities and Exchange Commission (SEC)
Continue Reading The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities

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On Dec. 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission
Continue Reading SEC’s Office of Compliance Inspections and Examinations Releases 2019 Examination Priorities

On Thursday, August 27, Greenberg Traurig’s Pete Michaels, shareholder in the Greenberg Traurig’s Financial Regulatory and Compliance and Securities Litigation Groups, presented “Legal Quick Hit: But I Thought it
Continue Reading Pete Michaels Presents on United States Regulatory Traps for the Unwary Financial Services Firm