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.
Click here for a comprehensive GT Alert on this topic. On Dec. 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued its annual Examination Priorities for 2019 (Exam Priorities), which is available for download here. The Exam Priorities focus around six thematic areas: (1) Retail Investors, … Continue Reading
On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its third National Exam Program Risk Alert of the 2017 calendar year, detailing OCIE’s findings and observations from its Cybersecurity 2 Initiative. This Cybersecurity 2 Initiative, the name for OCIE’s second round of cybersecurity examinations, builds on OCIE’s prior 2015 Cybersecurity … Continue Reading
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 was No Big Deal: United States Regulatory Traps for the Unwary Financial Services Firm” to the Association of Corporate Counsel (ACC) Financial Services Committee. The webinar … Continue Reading
Brett Kitt, Financial Regulatory Of Counsel, participated as a speaker in the Online Lenders Alliance Spring Summit held in Washington, D.C. from April 28 – 29. Brett moderated a panel at the Summit titled “Regulatory Recap” on April 29. The session provided an outlook on the Consumer Financial Protection Bureau’s outline for a proposed rule-governing … Continue Reading