Marc J. Tobak

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....

Unanimous Court in Merit Management Group, LP v. FTI Consulting, Inc., No. 16-784, resolves circuit court split, holds that the Bankruptcy Code’s Section 546(e) safe harbor protects onl...

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...

A team of attorneys from Davis Polk & Wardwell LLP presented the ABA’s January Antritrust Update for In-House Counsel. The following article summarizes one of the recent developments di...