In this issue, we discuss proposed rules relating to the use of predictive data analytics by investment advisers, and proposed reforms for investment advisers operating exclusively throug...
In this issue, we discuss a risk alert relating to the Advisers Act Marketing Rule and recent enforcement actions regarding valuation and management fees.
In this issue, we discuss a risk alert relating to the Advisers Act Marketing Rule and recent enforcement actions regarding valuation and management fees.
The Plan—the result of years-long efforts by the Debtors (represented by Davis Polk) and other key stakeholders to resolve opioid clams against Purdue and recover from its owners—will...
In this issue, we discuss an SEC Examinations Division risk alert on LIBOR-transition preparedness, and recent remarks of SEC Director Birdthistle regarding developments in the asset man...
In this issue, we discuss an SEC Examinations Division risk alert on LIBOR-transition preparedness, an SEC staff bulletin on standards of conduct for investment advisers and a recent enfo...
In this issue, we discuss recent rule proposals regarding cybersecurity risk management and protection of customer information by registered advisers and investment companies.
In this issue, we discuss recent rule proposals regarding cybersecurity risk management and protection of customer information by registered advisers and investment companies.
In this issue we discuss, among other things, SEC Division of Examinations priorities for 2023 and a recent enforcement action involving an adviser’s alleged conflict of interest with r...
In this issue we discuss, among other things, SEC Division of Investment Management guidance regarding registered funds and differential advisory fee waivers, SEC Division of Examinations...