Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights May 7, 2018 Client Update SEC Proposes Enhanced Standards for Advice to Retail Investors The SEC recently proposed rules and interpretations seeking to enhance the standard of conduct of broker-dealers and inves... April 30, 2018 Client Update Investment Management Regulatory Update - April 2018 Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced St... March 30, 2018 Client Update Investment Management Regulatory Update - March 2018 Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liq... March 15, 2018 Client Update SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers... February 28, 2018 Client Update Investment Management Regulatory Update - February 2018 Rules and Regulations SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Co... January 30, 2018 Client Update Investment Management Regulatory Update - January 2018 Rules and Regulations SEC Releases FAQs on Liquidity Risk Management Reforms SEC Adopts Amendments to Advisers Act Rules ... December 21, 2017 Client Update Investment Management Regulatory Update - December 2017 Rules and Regulations CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency... November 28, 2017 Client Update Investment Management Regulatory Update - November 2017 SEC Rules and Regulations SEC Proposes Amendments to Investment Company Act and Advisers Act Rules to Require Hyperlinkin... November 6, 2017 Client Update SEC Issues Three No-Action Letters to Facilitate Cross-Border Implementation of MiFID II's Research Provisions On October 26, 2017, the Division of Investment Management and the Division of Trading and Markets of the SEC issued three... October 31, 2017 Client Update Investment Management Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in... Load More
May 7, 2018 Client Update SEC Proposes Enhanced Standards for Advice to Retail Investors The SEC recently proposed rules and interpretations seeking to enhance the standard of conduct of broker-dealers and inves...
April 30, 2018 Client Update Investment Management Regulatory Update - April 2018 Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced St...
March 30, 2018 Client Update Investment Management Regulatory Update - March 2018 Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liq...
March 15, 2018 Client Update SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers...
February 28, 2018 Client Update Investment Management Regulatory Update - February 2018 Rules and Regulations SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Co...
January 30, 2018 Client Update Investment Management Regulatory Update - January 2018 Rules and Regulations SEC Releases FAQs on Liquidity Risk Management Reforms SEC Adopts Amendments to Advisers Act Rules ...
December 21, 2017 Client Update Investment Management Regulatory Update - December 2017 Rules and Regulations CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency...
November 28, 2017 Client Update Investment Management Regulatory Update - November 2017 SEC Rules and Regulations SEC Proposes Amendments to Investment Company Act and Advisers Act Rules to Require Hyperlinkin...
November 6, 2017 Client Update SEC Issues Three No-Action Letters to Facilitate Cross-Border Implementation of MiFID II's Research Provisions On October 26, 2017, the Division of Investment Management and the Division of Trading and Markets of the SEC issued three...
October 31, 2017 Client Update Investment Management Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in...