Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights May 8, 2017 Client Update Financial CHOICE Act 2.0 Passes House Financial Services Committee A revised version of the Financial CHOICE Act (commonly referred to as CHOICE Act 2.0) was passed by the House Financial S... April 27, 2017 Client Update Investment Management Regulatory Update - April 2017 Industry Update IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure IM Informat... March 29, 2017 Client Update Investment Management Regulatory Update - March 2017 SEC Rules and Regulations Division of Investment Management Grants No-Action Relief to the Investment Adviser Associatio... February 28, 2017 Client Update Investment Management Regulatory Update - February 2017 SEC Rules and Regulations SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment... January 23, 2017 Client Update Investment Management Regulatory Update - January 2017 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell ... December 22, 2016 Client Update SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements The SEC issued two orders concerning violations of Exchange Act Rule 21F-17 this week. On December 19, the Commission iss... December 12, 2016 Client Update Predictions on Possible Changes to and Timing of the Dodd-Frank Executive Compensation Provisions With President-elect Donald Trump’s transition underway, speculation has been rife as to the impact of his Administratio... November 22, 2016 Client Update Investment Management Regulatory Update - November 2016 Industry Update OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference SEC A... November 17, 2016 Client Update The Trump Transition and Possible Directions for Financial Regulatory Reform President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies ... October 31, 2016 Client Update Investment Management Regulatory Update - October 2016 SEC Rules and Regulations SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs SEC ... Load More
May 8, 2017 Client Update Financial CHOICE Act 2.0 Passes House Financial Services Committee A revised version of the Financial CHOICE Act (commonly referred to as CHOICE Act 2.0) was passed by the House Financial S...
April 27, 2017 Client Update Investment Management Regulatory Update - April 2017 Industry Update IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure IM Informat...
March 29, 2017 Client Update Investment Management Regulatory Update - March 2017 SEC Rules and Regulations Division of Investment Management Grants No-Action Relief to the Investment Adviser Associatio...
February 28, 2017 Client Update Investment Management Regulatory Update - February 2017 SEC Rules and Regulations SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment...
January 23, 2017 Client Update Investment Management Regulatory Update - January 2017 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell ...
December 22, 2016 Client Update SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements The SEC issued two orders concerning violations of Exchange Act Rule 21F-17 this week. On December 19, the Commission iss...
December 12, 2016 Client Update Predictions on Possible Changes to and Timing of the Dodd-Frank Executive Compensation Provisions With President-elect Donald Trump’s transition underway, speculation has been rife as to the impact of his Administratio...
November 22, 2016 Client Update Investment Management Regulatory Update - November 2016 Industry Update OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference SEC A...
November 17, 2016 Client Update The Trump Transition and Possible Directions for Financial Regulatory Reform President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies ...
October 31, 2016 Client Update Investment Management Regulatory Update - October 2016 SEC Rules and Regulations SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs SEC ...