Terrence O. Davis advises and counsels a wide range of investment advisers, broker-dealers, and fund managers in connection with various matters arising under the federal securities laws, with a particular emphasis on the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He counsels investment advisers and registered investment companies in connection with the structure of their compliance programs under these laws and develops related materials for investment advisers and registered investment companies, including training programs and compliance manuals. Terrence also represents clients in connection with routine examinations and enforcement actions by the U.S. Securities and Exchange Commission (SEC).
Investment companies registered under the Investment Company Act of 1940
Investment advisers registered under the Investment Advisers Act of 1940
Private equity and venture capital funds
Compliance programs of registered investment companies and registered investment advisers
Corporate compliance and social responsibility
Pension funds and institutional investors
Articles in the National Law Review database by Terrence O. Davis