USA - July 20 2022
Kelley Howes joins Richard Levick on the In House Warror Podcast to discuss some of the changes being introduced by SEC Chairman Gary Gensler…
USA - May 2 2022
On April 26, 2022, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert flagging certain notable deficiencies that it has observed…
Jina Choi, Andre Fontana
USA - February 14 2022
On February 9, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed new rules and amendments under the Investment Advisers Act of…
Hila Cohen, Leonora M. Shalet
USA - February 10 2022
On January 27, 2022, the SEC’s Division of Examinations (“EXAMS”) released a risk alert (the “Risk Alert”) outlining its observations regarding…
Leonora M. Shalet, Christine Wang
USA - January 31 2022
On January 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Form PF, the confidential reporting form the SEC uses…
Leonora M. Shalet