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SEC Clarifies Investment Adviser Standard of Conduct

USA - June 25 2019 On June 5, 2019, the SEC issued an Interpretive Release designed to “reaffirm, and in some cases clarify, the standard of conduct that investment...

Susan I. Gault-Brown.

New SEC privacy and cybersecurity risk alert tells broker dealers and investment advisers common deficiencies to avoid

USA - April 22 2019 The SEC’s new Risk Alert provides valuable insight as to what the OCIE wants to see broker dealers and investment advisers accomplish with their...

Kristen J. Mathews.

SEC Announces Settlements Resulting from the Share Class Selection Initiative

USA - March 13 2019 On March 11, 2019, the SEC announced settlements with 79 investment advisers who self-reported violations of the Investment Advisers Act of 1940 (the...

The SEC Continues to Spread Sunshine on Private Equity: Reflections on Two Recent Enforcement Actions

USA - January 30 2019 The end of 2018 was notable for two SEC enforcement actions against private equity fund managers for violations of the Investment Advisers Act of 1940...

Susan I. Gault-Brown, Michael D. Birnbaum, Stephanie Thomas.

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities

USA - January 28 2019 FINRA recently published its 2019 Risk Monitoring and Examination Priorities Letter (“Priorities Letter”) highlighting topics upon which FINRA will...

Susan I. Gault-Brown, Hillel T. Cohn.