Industry Update

  • SEC Launches Investor Protection Search Tool
  • Dalia Blass Remarks at the 2018 PLI Investment Management Institute
  • Jay Clayton: The Evolving Market for Retail Investment Services and Forward-Looking Regulation – Adding Clarity and Investor Protection While Ensuring Access and Choice

Litigation

  • SEC Charges Investment Adviser for Failing to Disclose Revenue-Sharing Arrangement with Service Provider to Portfolio Companies

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