Results 1 to 5 of 28

SEC enforcement action highlights evolution in SEC’s stance on hedge clauses in advisory agreements

USA - February 8 2022 In the second full week of the new year, the US Securities and Exchange Commission (SEC) settled an administrative action against Comprehensive…

Ethan D. Corey

Digital Assets: The SEC’s roadmap for distribution and exams

USA - March 18 2021 In the span of the last five months, the Securities and Exchange Commission (SEC) and its staff have issued two statements, a risk alert and an exam…

Holly H. Smith

The SEC’s overhaul of the investment adviser advertising and solicitation rules: Your questions answered

USA - March 5 2021 During this Q&A session, we will answer your most-asked questions from our five-part webcast series focused on the SEC’s overhaul of the investment…

Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Alexa R. Shockley

Digital asset securities: broker-dealer custody issues

USA - January 12 2021 As 2020 came to a close, the issue of how digital asset securities can be custodied by US broker-dealers became clearer, at least from a regulatory…

John H. Walsh, Eric A. Arnold, Cynthia R. Beyea, James M. Cain, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Ben Marzouk, Alexa R. Shockley, Holly H. Smith

Advisers Act Regulatory Series: 2020 Fourth Quarter Update

USA - December 10 2020 Join Eversheds Sutherland attorneys Clifford Kirsch, Michael Koffler, Carol McClarnon, John Walsh, Issa Hanna and Bria Adams for the latest in our…

Carol T. McClarnon, John H. Walsh, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler