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SEC Annual Examination Priorities for RIAs

USA - April 14 2021 Last month, the SEC Division of Examinations (the "Division"; formerly the "Office of Compliance Inspections and Examinations") released its annual…

Vera S. Hansen, Steven J. Rotunno

New Investment Adviser Marketing Rules Take Effect May 4, 2021

USA - March 8 2021 On December 22, 2020, the SEC adopted amended Rule 206(4)-1 under the Investment Advisers Act of 1940, updating the rules governing investment…

Vera S. Hansen, Steven J. Rotunno

Risks For RIA Firms in a COVID World

USA - October 20 2020 In light of COVID-19, the U.S. Securities and Exchange Commission ("SEC"), recognizing that RIA Firms are facing operational, technological…

Steven J. Rotunno

COVID-19: Data Privacy Compliance

USA - March 17 2020 Managing the COVID-19 outbreak requires adopting measures that have never been seen before. Such measures, aimed at monitoring how the virus spreads…

Nhan T Ho, Justyna Regan

Changes to International Sales Contracts Coming with the Release of Incoterms® 2020

USA - September 11 2019 The International Chamber of Commerce ("ICC") released Incoterms® 2020 this week, which will replace the prior version, Incoterms®…

Richard A. Walawender