Mr. Max Berueffy

Max Berueffy

Office Address:1901 Sixth Avenue North Suite 2600 Birmingham, Alabama 35203Phone: (205) 226-3419Fax: (205) 488-5877
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MAX BERUEFFY is a Partner in the Financial Services and Transactions section of Balch & Bingham's Birmingham office.He assists a wide range of clients who offer or otherwise deal with investment opportunities and products including banks, investment advisers, broker-dealers, mutual funds and private and offshore funds.In the course of his private practice, he has assisted clients with:

Developing policies and procedures for banks, investment advisers and investment companies to achieve compliance with applicable securities laws relating to best execution and soft dollar practices, the misuse of nonpublic information, and the SEC's corporate governance and advertising rules.Obtaining an exemptive order from the Securities and Exchange Commission permitting a bank to offer "blended" mutual funds that allocate their assets among a combination of underlying funds, each with a different investment strategy or style. Preparing comments on proposed rulemaking regarding the MSRB's "pay to play" rule G-37 and the SEC's proposed rules regarding securities activities of banks.

Before joining the firm, Mr. Berueffy was General Counsel of American Data Services, Inc., a third party mutual fund administrator.From 1987 through 1994, he was a member of the staff of the U.S. Securities and Exchange Commission in Washington, DC, where he served as Counsel to Commissioner Grundfest and later as Senior Special Counsel in the SEC's Division of Investment Management from 1995 through 1996.In that office, he supervised special projects and served as liaison for interpretive questions arising in disclosure review.