James H.R. Windels

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liquidity Risk Management Reforms Industry Update SEC Announces Na...

Industry Update SEC Announces National Compliance Outreach Seminar for Investment Companies and Investment Advisers Litigation United States Pursues False Claims Act Suit Against Priva...

Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers who self-report potential violations concerning Rule 12b-1 fees....

Please join us for an in-depth discussion of Office of Compliance Inspection and Examinations (OCIE) examinations and best practices for mitigating the risk associated with those examinat...

On November 29, 2017, the Solicitor General filed a brief in the Supreme Court on behalf of the Securities and Exchange Commission (“SEC”) reversing the agency’s position and arguin...

Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in Private Equity: What Every GP Needs to Know About Public Pension...

On July 7, 2017, the United States Court of Appeals for the Second Circuit vacated parts of the District Court’s class certification order in In re Petrobras Securities Litigation (“P...

On June 26, 2017, the full D.C. Circuit Court of Appeals split down the middle over whether the Securities and Exchange Commission’s (the “SEC’s”) appointment of Administrative ...