Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. announced that Adam Gale, from Chadbourne & Parke’s private funds group, has joined the firm as a member in the Corporate & Securities Section.
Based in the New York office, Mr. Gale brings deep experience in the structuring, formation and fund raising efforts of hedge funds and private equity funds as well as providing regulatory and compliance advice to these funds, their sponsors and broker-dealers, banks, and registered investment companies. Additionally, he represents numerous institutional investors in their investments into all fund types.
“As we continue to see hedge funds and other private funds become an increasingly important element of capital markets and financial services, we’re thrilled to welcome Adam and his wealth of expertise in both the structuring and regulatory compliance of these entities,” said Peter Demuth, Chair of the Corporate & Securities Section. “We continue to meet the expanding needs of our clients, and Adam’s skills are a key component to growing our fund formation practice.”
Mr. Gale represents both U.S. and international funds and their sponsors in all of their activities from initial structuring and formation through the fund raising stage and beyond and advises on the full range of compliance and regulatory issues, including the Investment Advisers Act, Commodity Exchange Act, Investment Company Act of 1940, and the JOBS Act, among other securities law issues.
In the areas of broker-dealer and market regulation, Mr. Gale’s practice covers the entire range of regulatory and compliance issues, including FINRA rules, broker-dealer registration, insider trading, anti-money laundering regulations and day-to-day compliance issues, such as the net capital rules.
He is experienced in US bank regulatory and compliance issues as well, having served as senior counsel at The Bank of New York, and has counseled clients on matters regarding the Volcker Rule and other Dodd-Frank Act provisions, as well as the full range of bank regulatory issues, including transactions under Sections 23A and B, credit risk policies, bank-broker dealer exceptions, and securities credit regulations.
Mr. Gale received the Lawyers Alliance for New York Cornerstone Award and is a New York State Bar Association Empire State Counsel Honoree. He is also the recipient of a New York City Council Proclamation honoring his pro bono work on behalf of New York City charter schools and a Project Reach Youth Annual Award for exceptional legal counsel.
He received his B.A. from Cornell University and his J.D. from Columbia Law School.