In this issue, we discuss proposed customer identification requirements for investment advisers and amendments regarding expanded cybersecurity requirements for broker-dealers, investment...
In a joint rulemaking, FinCEN and the SEC issued a proposed rule that would require certain investment advisers to establish risk-based customer identification programs.
In this issue, we discuss the SEC Examinations Division’s risk alert regarding compliance with the Advisers Act Marketing Rule, and recent enforcement actions involving, among other thi...
Davis Polk partner Gregory Rowland and counsel Sarah Kim and Leon Salkin contributed to the seventh edition of International Comparative Legal Guides: Public Investment Funds 2024.Greg an...
In this issue, we discuss recent enforcement actions involving investment advisers that allegedly made false and misleading statements about their use of artificial intelligence.
In this issue, we discuss among other things updated FAQs regarding compliance with the marketing rule under the Advisers Act, and amendments to Form PF.
FinCEN issued its long-awaited proposed rule that would impose AML/CFT obligations on certain investment advisers, such as requirements to implement and maintain an AML/CFT compliance pro...
While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as a result of engaging in trading activity that has “the effect?...
The SEC backpedaled on its proposed rules that would have expanded the scope of underwriter liability and included a new safe harbor under the Investment Company Act of 1940. But the fina...
