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Business Continuity Planning

USA - September 9 2016 The SEC has issued guidance that stresses that the board of directors (Board) needs to mitigate operational risks related to significant business…

Stuart E. Fross

SEC Rule Designed to Assist Certain Investment Advisers

USA - September 9 2016 In a recent letter to the executive vice president of the Securities Industry and Financial Markets Association, David Grim, director of the SEC's…

Stuart E. Fross

Two Will Oversee SEC’s Examination Program of Investment Advisers and Investment Companies

USA - September 9 2016 The SEC recently announced that Kristin Snyder will join Jane Jarcho as co-directors of the SEC's Investment Management Adviser/Investment Company…

Stuart E. Fross

Beware of Failing to Properly Disclose Fees and Assess Adequate Penalties

USA - September 9 2016 The Securities and Exchange Commission (SEC) announced that four private equity fund advisers affiliated with Apollo Global Management agreed to a…

Stuart E. Fross

AXA Prevails in Excessive Fee Trial

USA - September 9 2016 The latest excessive fee case has ended with a win for the fund company and a loss for plaintiffs. Among the key takeaways from the court’s decision…

Stuart E. Fross