The American Prosperity Project
Posted by The Aspen Institute, on Tuesday, December 20, 2016 Editor's Note: This post is a policy statement issued by the Aspen Institute’s American Prosperity Project, a nonpartisan framework for...
View ArticlePotential Changes to Fund of Funds Arrangements
Posted by Thomas Hiller, Brian McCabe, and Edward Baer, Ropes & Gray LLP, on Friday, February 1, 2019 Editor's Note: Thomas Hiller and Brian McCabe are partners and Edward Baer is counsel at Ropes...
View ArticleSEC Staff Letter on Administrative Services
Posted by Jessica Forbes, Stacey Song, and Joanna D. Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, February 2, 2019 Editor's Note: Jessica Forbes and Stacey Song are...
View ArticleSEC Proposed Rule on Continuity Planning by Registered Investment Advisers
Posted by Paul A. Ferrillo, Weil, Gotshal & Manges LLP, on Saturday, July 30, 2016 Editor's Note: Paul A. Ferrillo is counsel at Weil, Gotshal & Manges LLP specializing in complex securities...
View ArticleSEC Proposal to Streamline Disclosure Requirements
Posted by Paul A. Ferrillo, Weil, Gotshal & Manges LLP, on Tuesday, August 2, 2016 Editor's Note: Paul A. Ferrillo is counsel at Weil, Gotshal & Manges LLP specializing in complex securities...
View ArticleStakes Go Up In SEC Administrative Proceedings
Posted by Wayne M. Carlin, Wachtell, Lipton, Rosen & Katz, on Friday, August 12, 2016 Editor's Note: Wayne M. Carlin is a partner in the Litigation Department at Wachtell, Lipton, Rosen & Katz....
View ArticleNew Disclosure Requirements in Form ADV
Posted by Mayer Brown LLP, on Saturday, September 23, 2017 Editor's Note: This post is based on a Mayer Brown LLP publication by Stephanie M. Monaco, Amy Ward Pershkow, Leslie S. Cruz, and Peter M....
View ArticleSEC’s Proposed Standard of Conduct for Investment Advisors
Posted by David Tittsworth and Adam Lovell, Ropes & Gray LLP, on Thursday, May 3, 2018 Editor's Note: David Tittsworth is counsel and Adam Lovell is an associate at Ropes & Gray LLP. This post...
View ArticleSEC Rules and Guidance for Investment Advisers Standard of Conduct
Posted by Jessica Forbes and Joanna Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, May 12, 2018 Editor's Note: Jessica Forbes is a partner and Joanna D. Rosenberg is an...
View ArticleSEC Enforcement for Social Media Violation
Posted by Jessica Forbes, Stacey Song, and Joanna Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Thursday, July 26, 2018 Editor's Note: Jessica Forbes and Stacey Song are partners and...
View ArticleSEC Liability for Social Media Violations
Posted by Michael W. McGrath, Pablo J. Man, and Britney E. Ryan, K&L Gates LLP, on Friday, August 3, 2018 Editor's Note: Michael W. McGrath is partner and Pablo J. Man and Britney E. Ryan are...
View ArticleNew SEC Interpretation of Advisers Acts
Posted by Amran Hussein, Udi Grofman, Marco Masotti, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Thursday, June 27, 2019 Editor's Note: Amran Hussein, Udi Grofman, and Marco V. Masotti are...
View ArticleMens Rea for Investment Advisers Act Violations
Posted by John J. Sikora, Jr. and Jack M. McNeily, Latham & Watkins LLP, on Thursday, July 11, 2019 Editor's Note: John J. Sikora, Jr. is partner and Jack M. McNeily is an associate at Latham &...
View ArticleRemarks to the SEC Investor Advisory Committee
Posted by Jay Clayton, U.S. Securities and Exchange Commission, on Thursday, September 5, 2019 Editor's Note: Jay Clayton is Chairman of the U.S. Securities and Exchange Commission. This post is based...
View ArticleInvestment Advisers’ Fiduciary Duties: The Use of Artificial Intelligence
Posted by Amy Caiazza, Rob Rosenblum, and Danielle Sartain, Wilson Sonsini Goodrich & Rosati, on Thursday, June 11, 2020 Editor's Note: Amy Caiazza and Rob Rosenblum are partners and Danielle...
View ArticleFive Key Points About the DOL’s New Fiduciary Rule
Posted by Karen Shriver, Greg Nowak and Michael Crumbock, Troutman Pepper, on Tuesday, July 28, 2020 Editor's Note: Karen Shriver is an associate and Greg Nowak and Michael Crumbock are partners at...
View ArticleSEC’s Recent Decision Regarding “Qualified Client” Status
Posted by David Blass, Michael Wolitzer, and Allison Bernbach, Simpson Thacher & Bartlett LLP, on Wednesday, July 28, 2021 Editor's Note: David Blass and Michael Wolitzer are partners and Allison...
View ArticleSEC Updates Qualified Client Threshold
Posted by Kathryn M. Furman, John Wilson and Doug Elsbeck, King & Spalding LLP, on Sunday, August 29, 2021 Editor's Note: Kathryn M. Furman, John Wilson and Doug Elsbeck are partners at King &...
View ArticleKey Takeaways From Recent SEC Cybersecurity Charges
Posted by Michael Osnato, Allison Bernbach, and William LeBas, Simpson Thacher & Bartlett LLP, on Friday, October 1, 2021 Editor's Note: Michael Osnato is partner, Allison Bernbach is senior...
View ArticleStatement by Chair Gensler on Private Fund Advisers Proposal
Posted by Gary Gensler, U.S. Securities and Exchange Commission, on Thursday, February 10, 2022 Editor's Note: Gary Gensler is Chair of the U.S. Securities and Exchange Commission. This post is based...
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