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In this issue we discuss, among other things, recent enforcement actions involving investment advisers and alleged violations of the Marketing Rule under the Advisers Act.
The SEC’s form and rule amendments require 1940 Act funds to enhance their periodic portfolio reporting. The SEC also provided guidance regarding liquidity risk management programs, add...
The SEC finalized a package of amendments to Regulation National Market System (Reg NMS) to reduce minimum pricing increments (or “ticks”) for certain stocks to half-penny increments,...
DOJ made changes to its Evaluation of Corporate Compliance Programs, the first since March 2023. The changes focus on the management of technology risk, including the use of artificial i...
On September 12, 2024, the U.S. Treasury Department and the Internal Revenue Service released proposed regulations addressing the application of the corporate alternative minimum tax that...
The DOJ, FDIC and OCC have revised their bank merger review standards. The new standards are a major shift for bank M&A and will require a careful, detailed analysis to evaluate the viabi...
FinCEN finalized a rule that targets illicit finance in the real estate sector and imposes new reporting requirements with respect to certain non-financed residential real estate transact...
FinCEN’s Investment Adviser Rule will, as of January 1, 2026, require certain investment advisers to implement and maintain AML/CFT compliance programs and monitor for and report suspic...
The SEC announced the settlement of enforcement actions against seven companies, stemming from the use of employment and related agreements that allegedly violated Dodd-Frank whistleblowe...
Proposals to delay compliance deadlines in California’s three landmark climate-related disclosure laws failed to pass during the recently concluded legislative session, while a modest s...