- Banking & Finance
- Investment Management Private Investment Funds
- Fund Finance Corporate & Securities Financial Services Regulatory & Enforcement
|Contact Info||Telephone: +1 202 263 3164|
Fax: +1 202 762 4273
|University ||University of Connecticut, B.A., magna cum laude, 2005|
|Law School||The George Washington University Law School, J.D., with honors, 2008|
|Admitted||2009, New York; 2010, District of Columbia|
Adam Kanter is an associate in the Corporate & Securities practice of the Washington office. He focuses his practice on counseling domestic and non-US investment advisers, investment companies, and other financial services firms on a variety of regulatory, compliance, enforcement, and transactional matters.
Adam has advised clients on a wide range of investment management matters, including formation, registration, and ongoing compliance issues of investment companies and investment advisers. He has also assisted clients in adapting to new regulations, such as the custody rule and pay to play rule under the Investment Advisers Act of 1940, and the amended money market fund rule under the Investment Company Act of 1940. Adam also advises clients on related matters, including the preparation of registration statements, compliance policies and procedures, proxy statements, no-action letter requests, exemptive applications, comment letters, and corporate documents.
Recently, Adam has been involved in advising a variety of financial services clients on implications of the Dodd-Frank Wall Street Reform and Consumer Protection Act, particularly with respect to its effects on entities with cross-border operations. He joined Mayer Brown in 2008.
Documents by this lawyer on Martindale.com
US Securities and Exchange Commission Settles Its First Whistleblower Anti-Retaliation Case
Marcus Christian,Adam D. Kanter,Stephanie M. Monaco,Jerome J. Roche,Richard M. Rosenfeld, July 4, 2014
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission’s first whistleblower anti-retaliation case. As part of the settlement order, the SEC charged Paradigm Capital Management, Inc., a registered investment adviser, and...
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