In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
In this issue, we discuss, among other things, recently adopted rule amendments on proxy voting disclosures by registered funds, “say-on-pay” voting disclosures by institutional inves...
In this issue, we discuss, among other things, recently adopted rule amendments on “say-on-pay” voting disclosures by institutional investment managers and proposed new oversight requ...
In this issue we discuss, among other things, a Division of Examinations risk alert relating to the Marketing Rule, SEC Chair Gary Gensler’s remarks regarding crypto tokens and securiti...
In this issue we discuss, among other things, a Division of Examinations risk alert relating to the Marketing Rule, SEC Chair Gary Gensler’s remarks regarding crypto tokens and securiti...
In this issue, we discuss proposed amendments to Form PF by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
In this issue, we discuss proposed amendments to Form PF by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
In this issue, we discuss, among other things, rule amendments that require electronic submission of Advisers Act exemptive order applications and Form 13F confidential treatment requests...
