Richard M. Cutshall

In the course of representing investment advisers and public and private funds, Rich advises Greenberg Traurig’s clients on all aspects of securities regulatory compliance, particularly including new and existing SEC rules; SEC examination, regulatory, and investigative initiatives and sweeps; the SEC’s proposal, adoption, and implementation of new regulations, such as the recently rewritten investment adviser marketing rule; and finding compliance solutions related to the regulatory scheme applicable to investment advisers and investment funds, including implementing both novel and long-standing SEC regulatory guidance and interpretations. He also advises clients on the day-to-day aspects of corporate governance, board and adviser fiduciary responsibility, and SEC compliance, as well as assisting clients in all aspects of SEC and other regulatory examinations.

Rich has given presentations on and assists a variety of investment management clients with their compliance with anti-money laundering laws, and has performed annual independent third party audits of several clients’ anti-money laundering policies, programs and controls.

Rich also has experience representing clients in many industries in the sale or acquisition of businesses, formation of corporate entities, sophisticated contract negotiations, and in obtaining, renewing and renegotiating the terms of financing business operations. He routinely works with clients’ chief executive officers, chief financial officers, directors, and in-house general and assistant general counsels, including occasionally working from clients’ corporate headquarters upon request. Rich works with corporate and finance clients of all sizes, from startup family-run businesses and entrepreneurial endeavors to Fortune 500 clients. He also has experience representing clients across many industries, including health care, data management, retail product display and advertising design and manufacturing, industrial manufacturing, and real estate management and brokerage industries.

Concentrations

• Investment advisers, including state and federal registration, compliance and exemptions
• Investment funds, including mutual funds, ETFs, and other companies registered under, and private funds (of all types) and companies exempt or excluded from, the Investment Company Act.
• Advice regarding new and changing regulatory guidance and rules, including the recently rewritten investment adviser marketing rule
• Broker-Dealers and Capital Acquisition Brokers
• Public company reporting and regulatory matters
• SEC examinations and other securities matters
• Mergers, acquisitions, sales and formation of corporate entities
• Corporate counseling and commercial transactions
• Pension funds and institutional investors
• Corporate compliance and social responsibility, including AML compliance