Investment Management

In this issue, we discuss proposed customer identification requirements for investment advisers and amendments regarding e...

In this issue, we discuss the SEC Examinations Division’s risk alert regarding compliance with the Advisers Act Marketin...

Davis Polk partner Gregory Rowland and counsel Sarah Kim and Leon Salkin contributed to the seventh edition of Internation...

In this issue, we discuss recent enforcement actions involving investment advisers that allegedly made false and misleadin...

In this issue, we discuss among other things updated FAQs regarding compliance with the marketing rule under the Advisers ...

FinCEN issued its long-awaited proposed rule that would impose AML/CFT obligations on certain investment advisers, such as...

While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as...

In this issue, we discuss SEC Chair Gary Gensler’s statement regarding the recent approval of spot bitcoin exchange-trad...

In this issue, we discuss a recent enforcement action involving an investment adviser and alleged custody rule violations.

In this issue, we discuss recent enforcement actions and litigation involving investment advisers.