In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
The SEC adopted the final rule implementing the “pay versus performance” disclosure requirement mandated by the Dodd-Frank Act, which is broader in scope than the 2015 proposed rule a...
On March 11, 2021, President Biden signed into law the American Rescue Plan Act of 2021 (“ARPA”), the $1.9 trillion stimulus bill adopted by Congress in response to the economic fallo...
The U.S. Department of Labor (“DOL”) issued a final rule on December 11, 2020 to clarify how and when the ERISA fiduciary duties apply to the exercise of shareholder rights, including...
This deck describes our view of the road ahead for financial regulatory reform under a Biden Presidency and a Republican Senate. We see most of the action coming from the regulators, not...
On June 29, 2020, the U.S. Department of Labor (the DOL) issued a final regulation reinstating the original fiduciary rule under the Employee Retirement Income Security Act of 1974. The D...
The U.S. Department of Labor issued a proposed rule on June 23, 2020 to clarify how and when ERISA fiduciaries can select and monitor plan investments based on environmental, social or co...
The coronavirus (COVID-19) pandemic, and our government’s responses to the pandemic (such as shelter-in-place orders and other mobility restrictions), have dramatically changed the natu...
In addition to the disruption caused by the coronavirus (COVID-19) pandemic, there have been a number of other significant developments over the past few years and in recent months that m...
