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SEC Warns Advisers to Up Their Game on Proxy Voting

USA - September 10 2019 On August 21, a sharply divided Securities and Exchange Commission (SEC) issued two interpretive releases addressing the proxy voting obligations of...

Richard D. Marshall, Allison C. Yacker, Mark D. Goldstein, Christian B. Hennion, David Y. Dickstein.

DC Circuit Decision Against Investment Adviser Leaves Many Unanswered Questions

USA - May 15 2019 On April 30, 2019, US Court of Appeals for the DC Circuit decided an important case involving the disclosure obligations of investment advisers...

Richard D. Marshall, Allison C. Yacker, Lance A. Zinman.

Not So Secure: OCIE Identifies Regulation S-P Compliance Issues

USA - April 25 2019 On April 16, the SEC's Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert outlining issues related to compliance with...

Michael T. Foley, Allison C. Yacker, Susan Light, Henry Bregstein, Doron S. Goldstein, David Y. Dickstein.

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, CFTC Initial Margin Phase 5, Brexit, and EU Obligations of Depositaries

USA, United Kingdom, European Union - November 2 2018 On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS)...

Gary DeWaal, Krassimira Zourkova, Robert Weiss, Arthur W. Hahn, Fred M. Santo, Kimberly L. Broder, Kevin M. Foley, Lance A. Zinman, Christian B. Hennion, Henry Bregstein, Jack P. Governale, Guy Dempsey, Christopher T. Shannon, Janet M. Angstadt, Carolyn H. Jackson.

SEC Sues Asset Managers for Using Untested, Error Filled Quantitative Investment Models

USA - September 24 2018 On August 27, the Securities and Exchange Commission (SEC) brought actions against four affiliated entitiesincluding two registered investment...

Richard D. Marshall, Allison C. Yacker, Lance A. Zinman.