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 - Short-swing profit issues
- Filing of Schedules 13D for activist holdings
- Proxy contests, tender offers, shareholder proposals and activist negotiations with portfolio companies
CG has a wealth of experience assisting and advising clients, applying regulations to unconventional transactions and working with regulators. CG 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. CG 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.