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Michael L. Sherman Dechert LLP

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OCIE Publishes Risk Alert on Most Frequent Best Execution Compliance Issues Found During Examinations

USA - August 7 2018 The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on July 11...

Mark D. Perlow, Ashley N. Rodriguez.


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, Christine Ayako Schleppegrell, Shayna Gilmore, Yevgeniy Yalon, Jennifer O'Brien, Nicholas DiLorenzo.


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, Christine Ayako Schleppegrell, Shayna Gilmore, Jennifer O'Brien.


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, Christine Ayako Schleppegrell, Shayna Gilmore, Jennifer O'Brien.


Inventaire 2018 des obligations réglementaires américaines de reporting pour les asset managers

USA, European Union - February 5 2018 Comme chaque année, nous avons préparé une liste des principales obligations déclaratives ou de reporting réglementaire exigées par les...

Karen L. Anderberg, Audrey Wagner, Elliott R. Curzon, Julien Bourgeois, Philip T. Hinkle, David A. Vaughan, Andrew L. Oringer.