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Thomas W. Steed III
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Investment Management
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Investment Management
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23 July 2012
Investment Management
Blogs
01 March 2012
Investment Management News & Notes
Source:
Kilpatrick Townsend & Stockton LLP
Articles
01 February 2012
Investment Management News & Notes
Source:
Kilpatrick Townsend & Stockton LLP
Articles
17 January 2012
New Department of Labor Regulations Offer More Investment Advisers the Opportunity to Provide Advice to Participants in 401(K) Plans and IRAs
Legal Alerts
01 January 2012
Investment Management News & Notes
Source:
Kilpatrick Townsend & Stockton LLP
Articles
20 September 2011
Deadline for Meeting the New Investment Adviser Regulatory Requirements Under the Dodd-Frank Act is Quickly Approaching
Legal Alerts
09 November 2010
SEC Adopts New Form ADV, Part 2
Legal Alerts
30 September 2010
SEC Proposes New Approach to Mutual Fund Asset-Based Distribution Fees
Legal Alerts
13 July 2010
The SEC Targets the Advertising of “Target Date Funds” with New Proposed Rules
Legal Alerts
19 January 2010
The SEC Amends Custody Rule for Registered Investment Advisers
Legal Alerts
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Who We Are
Suite 1400
,
4208 Six Forks Road
Raleigh
,
NC
,
27609
USA
t
+1 919.420.1832
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+1 919.510.6150
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Thomas W. Steed III
Experience Highlights
SEC registration of mutual fund for major North Carolina financial services company
Assisted a major North Carolina financial services company in organizing and registering with the SEC a new registered mutual fund.
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Representing investment manager in structuring investment vehicles
Representing and advising a $1 billion investment manager in structuring privately-offered domestic and offshore investment vehicles.
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Representation of investment adviser and mutual fund family
Ongoing representation of multi-billion dollar investment manager with specialized focus on 401(k) products; and ongoing representation of related
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Improper trading activity by an investment adviser
Represented financial institution and investment adviser in alleged improper trading activity by a portfolio manager.
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