Carolyn A. Jayne

Carolyn Jayne advises a variety of participants in the financial markets, including investment advisers, investment companies, broker-dealers, commodity pool operators and commodity trading advisors. She advises her clients on a broad range of regulatory and compliance issues in connection with the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Commodity Exchange Act, various state securities laws, and regulations of the Financial Industry Regulatory Authority, the Commodity Futures Trading Commission and the National Futures Association. She routinely handles all aspects of forming unregistered investment funds and registering new investment advisers, including establishing compliance policies and procedures. She also has experience performing compliance reviews of investment advisers.