Adam Bolter counsels investment advisers, broker-dealers, private funds, and mutual funds on regulatory compliance with federal securities laws. Clients rely on Adam's depth of experience, both in his private practice and his many years working at the Securities and Exchange Commission.
Securities counsel with first-hand regulatory experience
Before rejoining Katten, Adam spent 12 years at the SEC, where he worked with a number of different SEC offices, advising on a broad range of matters involving investment advisers and investment funds, including private funds. Adam routinely evaluated requests for no-action letters, interpretive letters and exemptive relief. He brings to his practice extensive experience addressing questions involving the Investment Advisers Act and responding to interpretive questions regarding implementation of the Investment Adviser Marketing rule.
Adam also spent a number of years in both the Investment Company and Investment Adviser (including the private funds branch) rulemaking offices where he focused on developing policy recommendations and drafting rulemaking proposals on Investment Adviser Marketing and Use of Derivatives by Registered Investment Companies and Business Development Companies.
Initially trained as a Certified Public Accountant, Adam previously worked as an auditor for a major accounting firm where he conducted audits of hedge funds and other private funds. In law school, he served as managing editor of Washington College of Law's Administrative Law Review.
Practice Focus
- Financial markets and funds
- Private equity regulatory compliance
- Investment Advisers Act compliance
- Broker-dealer regulation
- Investment management and funds
