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Getting ready for FINRA's new research rules: new requirements go into effect February 2016

USA - November 9 2015 The Financial Industry Regulatory Authority (FINRA) recently adopted new rules (particularly, Rule 2242), and changes to its existing rules...

Tim Aron, Daniel M. Hawke, David F. Freeman, Jr., Gilbert R. Serota, Robert E. Holton.


The SEC targets another prominent fund adviser in latest fee disclosure enforcement action

USA - October 20 2015 On October 7, 2015, the US Securities and Exchange Commission (the Commission or SEC) entered into a settlement agreement with Blackstone Management...

Veronica Rendón Callahan, Daniel M. Hawke, Pratin Vallabhaneni, Robert E. Holton, Kevin J. Lavin.


The SEC's evolving scrutiny of private equity firms: KKR hit with an unprecedented enforcement action for broken deal expense misallocation

USA - July 2 2015 On June 29, 2015, the US Securities and Exchange Commission ("SEC") charged Kohlberg Kravis Roberts & Co. ("KKR") with misallocating more than US$17...

Veronica Rendón Callahan, Steven Kaplan, Michael D. Trager, Robert E. Holton, Kevin J. Lavin.


SEC guidance, while noting potential compliance risks, suggests Cybersecurity Framework for investment firms

USA - May 14 2015 The SEC's Division of Investment Management (the Division) recently issued cybersecurity guidance1 for registered investment companies (funds) and...

Tom McSorley, David F. Freeman, Jr., Ronald D. Lee.


Cyber-security and regulatory considerations in information technology contracting for financial services firm

USA - February 9 2015 Banks, broker-dealers, investment managers, insurance companies and other financial services firms face increasingly sophisticated threats to their...

Michael A. Mancusi, Susan E. Hendrickson, Michael I. Raschid, Nancy L. Perkins, David F. Freeman, Jr., Thomas A. Magnani.