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Three Critical Questions That Will (Hopefully) be Answered by the SEC’s Lawsuit against Ripple

USA - February 22 2021 Late last year, the SEC filed a litigated action in the U.S. District Court for the Southern District of New York against Ripple Labs Inc. and two of…

Joshua M Newville, Timothy W Mungovan.

President Biden’s SEC Enforcement Program: What Should Private Fund Managers Expect?

USA - January 20 2021 As President Biden continues to assemble his economic team, reports have emerged that President Biden will nominate Gary Gensler as the next Chair of…

Joshua M Newville.

SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways

USA - November 4 2020 On Monday the SEC announced its enforcement results for FY 2020, accompanied by a report from the Director of its Division of Enforcement. This…

Ariella E. Muller, Brian Hooven, Joshua M Newville.

SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers

USA - October 29 2020 On October 7th, 2020, the Securities and Exchange Commission (SEC) announced the rescheduled date of its 2020 national compliance outreach seminar…

Anthony M Drenzek, Joshua M Newville, Robert E Plaze.

Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness

USA - October 15 2020 Asset managers commonly engage regulatory compliance consultants to aid them in addressing regulatory requirements and implementing compliance…

James Anderson, Joshua M Newville, Robert E Plaze.