Gary E. Brooks focuses his practice on the investment management industry. Mr. Brooks regularly advises U.S.-registered investment companies, their investment advisers and other service providers on regulatory, compliance and business matters.
Mr. Brooks also advises boards of directors/trustees of U.S.-registered investment companies on fund governance and fiduciary oversight matters. He has extensive experience with registered fund filing obligations, including the development, organization and registration of new funds under the federal securities laws.
He also frequently prepares materials for fund board meetings and regularly attends board meetings. Mr. Brooks’ prior experience includes serving as a legal intern for the Financial Industry Regulatory Authority’s Department of Registration and Disclosure.
- Robert H. Smith School of Business, University of Maryland, B.S., 2008
- University of Pennsylvania Law School, J.D., 2013, Associate Editor of the University of Pennsylvania Journal of Business Law (2011-2012), Production Editor of the University of Pennsylvania Journal of Business Law (2012-2013)
- The Wharton School, University of Pennsylvania, Certificate in Business Economics and Public Policy, 2013
- District of Columbia
- New York
Rate : $$$