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SEC Charges Private Equity Fund Adviser as an Unregistered Broker

USA - June 16 2016 On June 1, 2016, the Securities and Exchange Commission (the "SEC") accepted a settlement offer from a registered investment adviser of private...

Lauren P. Heller, Erich T. Schwartz, Heather Cruz.

"Labor Department Redefines ‘Fiduciary’ for ERISA and Internal Revenue Code Purposes"

USA - April 25 2016 On April 6, 2016, the Department of Labor (DOL) issued a widely anticipated final regulation that redefines who is a “fiduciary” of certain employee...

Joseph M. Yaffe, Erica Schohn, Regina Olshan, Neil M. Leff, Heather Cruz.

Office of Compliance Inspections and Examinations Announces 2016 Priorities

USA - February 12 2016 On January 11, 2016, the Securities and Exchange Commission (the "SEC") identified selected 2016 examination priorities of the Office of Compliance...

Reed M. Ryan.

SEC announces enforcement results for fiscal year 2015

USA - November 4 2015 The Securities and Exchange Commission (the "SEC") recently announced its enforcement results for fiscal year 2015. The release touted high-impact...

SEC issues cybersecurity initiative

USA - September 21 2015 On September 15, 2015, the U.S. Securities and Exchange Commission (the "SEC") issued a risk alert release announcing that the Office of Compliance...

Stuart D. Levi, Cyrus Amir-Mokri.