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SEC Proposes Interpretation of Standard of Conduct for Investment Advisers

USA - June 14 2018 This LawFlash describes the key questions raised by the US Securities and Exchange Commission's new proposed interpretation of the standard of conduct...

Brian J. Baltz, Christine M. Lombardo, Eric L. Perelman, Jennifer L. Klass, Lindsay B. Jackson.

SEC Proposes Rules of the Road for Brokers Giving Advice to Retail Investors

USA - May 15 2018 This LawFlash analyzes the key aspects and questions raised by proposed Regulation Best Interest, including its impact on broker-dealers from...

Brian J. Baltz, Jennifer L. Klass, Kyle D. Whitehead, Lindsay B. Jackson.

SEC Proposes Standards of Conduct for Broker-Dealers, Investment Advisers

USA - April 20 2018 In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules and...

Brian J. Baltz, Christine M. Lombardo, Jennifer L. Klass.

GDPR’s New Requirements: What Investment Managers, Funds, Banks, and Broker-Dealers Need to Know

USA, United Kingdom, European Union - April 17 2018 The European General Data Protection Regulation, which will come into force on May 25, 2018, requires companies, including investment managers, funds...

Brian J. Baltz, Pulina Whitaker, Gregory T. Parks, Charles M. Horn.

SEC Tackles MiFID II Research Issues

USA, European Union - November 3 2017 On October 26, 2017, the staff of the Securities and Exchange Commission (SEC), following consultation with European authorities, issued three...

Amy Natterson Kroll, Brian J. Baltz, Roger P. Joseph, Timothy W. Levin, William Yonge.