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Nevada Imposes Fiduciary Obligations on Broker-Dealers and Investment Advisers

USA - June 23 2017 On June 2, Nevada Governor Brian Sandoval approved amendments (the "June 2017 Amendments") to the Nevada financial planner statute (NRS 628A) to...

Amy Natterson Kroll, Mark D. Fitterman.


SEC weighs in on robo-advisers: disclosure, suitability, and compliance obligations

USA - March 14 2017 The SEC's Guidance recognizes that robo-advisers are fiduciaries, and provides suggestions on how they can meet the substantive requirements of the...

Eric L. Perelman, Catherine "Katy" Courtney Gordon, Jennifer L. Klass, Steven W. Stone.


FinCEN requires financial institutions to obtain beneficial ownership information

USA - June 1 2016 FinCEN’s new CIP beneficial owner rules may hinder the ability of shell and nominee companies to directly access the US financial system without...

Amy Natterson Kroll, Christopher D. Menconi, Joshua B. Sterling, W. John McGuire, Thomas S. Harman.


SEC exam staff shares observations on outsourced chief compliance officers

USA - November 19 2015 On November 9, the US Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections, and Examinations (OCIE) released a Risk Alert...

Barry N. Hurwitz, Roger P. Joseph, John J. O’Brien, W. John McGuire, Thomas S. Harman.


SEC adopts rules exempting venture capital fund advisers from SEC registration and setting forth reporting regime

USA - July 7 2011 On June 22, the U.S. Securities and Exchange Commission (SEC) adopted several rules implementing changes to the Investment Advisers Act of 1940 (Advisers Act) made by Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act)....

John J. O’Brien, Ethan W. Johnson, Trina C. Winkelmann.