Leor Landa

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.

FinCEN issued its long-awaited proposed rule that would impose AML/CFT obligations on certain investment advisers, such as requirements to implement and maintain an AML/CFT compliance pro...

While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as a result of engaging in trading activity that has “the effect?...

In this issue, we discuss SEC Chair Gary Gensler’s statement regarding the recent approval of spot bitcoin exchange-traded products.

In this issue, we discuss a recent enforcement action involving an investment adviser and alleged custody rule violations.

In this issue, we discuss recent enforcement actions and litigation involving investment advisers.

In this issue, we discuss the 2024 examination priorities for the SEC’s Division of Examinations.

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...

The amendments broaden the scope of the requirement for registered investment companies and business development companies (BDCs) to adopt a policy to invest at least 80% of the value of ...