Attorney
CurrentMr. Zimmerman provides analysis for investment management clients in all aspects of legal representation, including: -counseling clients on various issues arising under federal securities laws in connection with the organization, registration and regulation of investment companies and investment advisers.-developing compliance policies and procedures for the investment companies and investment advisers.-counseling investment advisers on various compliance issues under the Investment Advisers Act of 1940, including Form ADV disclosure, personal securities trading, trade allocation practices, best execution, soft dollars, proxy voting and performance advertising.