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Christine Ayako Schleppegrell

Dechert LLP

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OCIE Publishes Risk Alert on the Use of Electronic Messaging by Investment Advisers and Employees

USA - January 24 2019 The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert on...

Mark D. Perlow, Ashley N. Rodriguez, Phillip Garber, Michael L. Sherman.


SEC Proposes Best Interest Standard for Broker-Dealers, Related Investment Adviser Guidance and New Customer Relationship Summary Form

USA - July 11 2018 The U.S. Securities and Exchange Commission has published a package of proposed rules and a proposed interpretation...

Brian J. McGrady, Jr, K. Susan Grafton, James V. Catano, Mark D. Perlow, Ashley N. Rodriguez, Shayna Gilmore, Yevgeniy Yalon, Jennifer O'Brien, Michael L. Sherman, Nicholas DiLorenzo.


A Touch Of Class: Mutual Fund Share Class Developments (Part 1)

USA - June 11 2018 Over the past two years, the mutual fund distribution and share class landscape has experienced considerable changes in light of several regulatory...

James V. Catano, Erica Evans, Shayna Gilmore, Melissa O'Neill, Jeffrey S. Puretz.


SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct

USA - April 25 2018 The SEC proposed a new standard of conduct for broker-dealers under the Securities Exchange Act of 1934 (Exchange Act), which would require a...

K. Susan Grafton, Mark D. Perlow, Shayna Gilmore, Jennifer O'Brien, Michael L. Sherman.


SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct

USA - April 24 2018 On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations (Proposals) intended...

K. Susan Grafton, Mark D. Perlow, Shayna Gilmore, Jennifer O'Brien, Michael L. Sherman.