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...
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.
The Second Circuit reaffirmed that the safe harbor of section 546(e) of the Bankruptcy Code protects transfers made in connection with a securities contract when a financial institution i...
Davis Polk partner and Restructuring practice co-head Marshall Huebner, counsel Marc Tobak and associate Garrett Cardillo authored “Recent developments at the crossroads of bankruptcy a...
In this issue, we discuss a risk alert issued by the SEC’s Division of Examinations regarding investment adviser examinations, and recent enforcement actions involving advisers, conflic...