Byron Bowman has over 25 years’ background providing investment services clients the advice and assistance they need in a diverse array of legal and regulatory matters. Combining an “in-house” perspective with the breadth of experience and analytical power of an experienced outside counsel, Byron assists a broad range of clients —

        Typical Clients

•Registered investment advisers

•Mutual funds, their sponsors, and their independent directors

•Broker-dealers

•Trust companies and bank trust departments

•Financial service companies serving the investment services industry

•Institutional investors

The services Byron provides are primarily matters of the type described below.

Typical Engagements

•Assist with the preparation of registration and disclosure documents

•Research, analyze, and advise on the application of federal laws and regulations

•Draft, review, and negotiate contracts governed by federal laws and regulations

•Act as a resource for General Counsels and Chief Compliance Officers

•Provide guidance on “fiduciary duties” under federal laws and regulations (both federal securities laws and national banking laws)

•Assist Chief Compliance Officers with SEC and FINRA examinations

•Prepare and submit no-action letter requests

•Make “no-name” inquiries to regulators and industry participants (in cooperation with—or in place of—usual law firms)

•Provide “second opinions” on sensitive issues

In addition, Byron stands ready to assist law firms that do not have a practice group focusing on investment services; that have potential clients who are currently interested in a value proposition with respect to legal advice; or that need to refer a matter in which the firm has a conflict of interest.