James H.R. Windels

Rules and Regulations SEC Proposes Rule Change to Address Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships Industry Update SEC Enforcement Divisio...

Industry Update SEC Launches Investor Protection Search Tool Dalia Blass Remarks at the 2018 PLI Investment Management Institute Jay Clayton: The Evolving Market for Retail Investment Se...

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....

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...