Hedge Funds and Asset Managers

We have assisted hedge funds and other asset managers in navigating the regulatory landscape as both passive and active investors. These include:

• Filing Schedules 13G for greater than 5% holdings
• Filing Forms 13F reporting quarterly holdings
• Section 16 insider transaction filings
• Short-swing profit issues
• Filing of Schedules 13D for activist holdings
• Proxy contests, tender offers, shareholder proposals and activist negotiations with portfolio companies
• Registered investment advisor regulations

C/G has a wealth of experience assisting and advising clients, applying regulations to unconventional transactions and working with regulators. C/G can also help with compliance manuals, non-disclosure agreements and other standard forms, which can assist your firm in insulating itself from liability.

C/G assists its clients in connection with SEC and FINRA response requests and inquiries. Our goal is a speedy and cost effective resolution that works for your business. C/G has found that good judgment coupled with an immediate hands-on approach at the outset of such a process can be critical in avoiding escalation of action by regulators.