Industry Update

  • SEC Announces Cybersecurity Enforcement Initiatives
  • SEC Chairman Issues Statement on Cybersecurity
  • ESG in Private Equity: What Every GP Needs to Know About Public Pension Fund Requirements

Litigation

  • SEC Charges Adviser with Improperly Recommending Higher Fee Mutual Funds
  • SEC Charges Large Financial Institution With Hidden Fee Markups and Disclosure Failures
  • SEC Charges Private Equity Fund Adviser and Principal for Improper Allocation of Expenses
  • SEC Charges Investment Adviser with Disclosure Failures Relating to ‘Broken Deal’ Expenses
  • California State Court Holds ETF Shareholders Subject to Section 11 Tracing Requirement
  • SEC Brings Action Against Two Companies Related to Initial Coin Offerings

If you have any questions regarding the matters covered in this publication, please reach out to any of the lawyers listed below or your usual Davis Polk contact.

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