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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...

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Potential 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...

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SEC 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...

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SEC 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...

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SEC 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...

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Stakes 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....

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New 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....

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SEC’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...

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SEC 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...

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SEC 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...

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SEC 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...

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New 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...

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Mens 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 &...

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Remarks 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...

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Investment 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...

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Five 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...

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SEC’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...

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SEC 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 &...

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Key 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...

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Statement 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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