USA - July 7 2020
On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk…
Gretchen Passe Roin, Timothy F. Silva
USA - June 11 2020
On June 4, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved the adoption of a final rule (Final Rule)1 prohibiting a…
Paul M. Architzel, Seth Davis, Petal Walker
USA - June 10 2020
The COVID-19 pandemic has caused disruption throughout the investment management industry. The U.S. Securities and Exchange Commission (SEC), along…
Phillip Gillespie, Timothy F. Silva
USA - March 18 2020
On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order (the Advisers Act Release) under the Investment Advisers Act of 1940…
Phillip Gillespie, Leonard A. Pierce, Gretchen Passe Roin, Timothy F. Silva
USA - February 21 2020
Introduction In a speech on February 6, 2020, US Securities and Exchange Commission (SEC) Commissioner Hester M. Peirce outlined a proposed safe…
Lillian Brown, Jeremy Moorehouse, Tiffany J. Smith