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Brent Bates is a member of Winstead’s Corporate, Securities/M&A Practice Group. Brent’s practice focuses on representing investment manager and public and private fund clients in all facets of operations and business, including acquisitions, formations, co-investments, regulatory compliance, offerings and governance. Prior to joining Winstead, he was a member of the in-house counsel team for an investment fund where he handled risk, legal and regulatory matters for the global investment manager, affiliated companies and funds. 

Representative Experience

  • Advise various business lines, executive officers and boards; lead trainings for business groups on new/revised regulations, as well as provide briefings to executives on legal and regulatory changes and accompanying project plans 
  • Substantive legal knowledge includes Securities Act, Exchange Act, Investment Company Act, Advisers Act, state and local securities laws, listing requirements, and accompanying regulations, guidance and enforcement
  • Provide continuing support and legal/regulatory updates for US, EU, Canada and APAC risk and compliance programs and their dedicated internal policies and procedures

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