Christine Ayako Schleppegrell

Dechert LLP

Articles

Results 1 to 5 of 28


SEC Proposes Amendments to the Advertising and Solicitation Rules

USA - January 31 2020 The U.S. Securities and Exchange Commission has proposed amendments to Rule 206(4)-1 - Advertisements by Investment Advisers (Current Advertising…

Teresa Jung, Russel G. Perkins, Mark D. Perlow, Ashley N. Rodriguez, Michael L. Sherman, David A. Vaughan, Aaron D. Withrow

SEC Adopts Enhanced Standard of Conduct for Broker-Dealers and Clarifies Fiduciary Duties of Investment Advisers

USA - June 12 2019 The U.S. Securities and Exchange Commission, on June 5, 2019, voted 3-1 in favor of adopting a package of rules, amendments and…

Robert J. Rhatigan, K. Susan Grafton, Kathleen Hyer, Brian J. McGrady, Jr, Albert Jung, Andrew L. Oringer, Mark D. Perlow, Steven Rabitz, Michael L. Sherman

OCIE Publishes Risk Alert regarding Safeguarding of Customer Information Stored on Cloud and Other Network Storage Solutions

USA - June 6 2019 The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on May 23…

Timothy C. Blank, Hilary Bonaccorsi, Phillip Garber, K. Susan Grafton, Colleen Hespeler, Michael L. Sherman

SEC Staff Requests Comments on the Custody Rule: Non-DVP Trading and Digital Assets

USA - March 22 2019 Through a March 12, 2019 letter (Letter), Paul Cellupica, Deputy Director and Chief Counsel of the SEC’s Division of Investment Management, on behalf…

Phillip Garber, K. Susan Grafton, Michael L. Sherman, Timothy Spangler

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…

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