Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights June 21, 2017 Articles & Books Allocating Fees and Expenses: The SEC Is Paying Close Attention In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Ex... June 6, 2017 Client Update Securities Enforcement Update: Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions On June 5, 2017, the Supreme Court decided Kokesh v. SEC, and unanimously held that the five-year statute of limitations ... May 25, 2017 Client Update Investment Management Regulatory Update - May 2017 Rules and Regulations SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act House Fina... May 8, 2017 Client Update Financial CHOICE Act 2.0 Passes House Financial Services Committee A revised version of the Financial CHOICE Act (commonly referred to as CHOICE Act 2.0) was passed by the House Financial S... April 27, 2017 Client Update Investment Management Regulatory Update - April 2017 Industry Update IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure IM Informat... March 29, 2017 Client Update Investment Management Regulatory Update - March 2017 SEC Rules and Regulations Division of Investment Management Grants No-Action Relief to the Investment Adviser Associatio... February 28, 2017 Client Update Investment Management Regulatory Update - February 2017 SEC Rules and Regulations SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment... January 23, 2017 Client Update Investment Management Regulatory Update - January 2017 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell ... December 22, 2016 Client Update SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements The SEC issued two orders concerning violations of Exchange Act Rule 21F-17 this week. On December 19, the Commission iss... December 12, 2016 Client Update Predictions on Possible Changes to and Timing of the Dodd-Frank Executive Compensation Provisions With President-elect Donald Trump’s transition underway, speculation has been rife as to the impact of his Administratio... Load More
June 21, 2017 Articles & Books Allocating Fees and Expenses: The SEC Is Paying Close Attention In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Ex...
June 6, 2017 Client Update Securities Enforcement Update: Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions On June 5, 2017, the Supreme Court decided Kokesh v. SEC, and unanimously held that the five-year statute of limitations ...
May 25, 2017 Client Update Investment Management Regulatory Update - May 2017 Rules and Regulations SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act House Fina...
May 8, 2017 Client Update Financial CHOICE Act 2.0 Passes House Financial Services Committee A revised version of the Financial CHOICE Act (commonly referred to as CHOICE Act 2.0) was passed by the House Financial S...
April 27, 2017 Client Update Investment Management Regulatory Update - April 2017 Industry Update IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure IM Informat...
March 29, 2017 Client Update Investment Management Regulatory Update - March 2017 SEC Rules and Regulations Division of Investment Management Grants No-Action Relief to the Investment Adviser Associatio...
February 28, 2017 Client Update Investment Management Regulatory Update - February 2017 SEC Rules and Regulations SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment...
January 23, 2017 Client Update Investment Management Regulatory Update - January 2017 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell ...
December 22, 2016 Client Update SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements The SEC issued two orders concerning violations of Exchange Act Rule 21F-17 this week. On December 19, the Commission iss...
December 12, 2016 Client Update Predictions on Possible Changes to and Timing of the Dodd-Frank Executive Compensation Provisions With President-elect Donald Trump’s transition underway, speculation has been rife as to the impact of his Administratio...