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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…

Bria M. Adams.

What to expect in unclaimed property trends for 2021

USA - February 3 2021 Many US companies will face the threat of increased unclaimed property exposure in 2021 as states and private litigants ramp up audits, litigation…

Samir A. Aguirre, Wilson G. Barmeyer, Emily A. Bork, Mary Jane Wilson-Bilik, John Allen Zumpetta.

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, Bria M. Adams, 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.

The emerging patchwork of fiduciary investment advice regulation - Putting the pieces together

USA - August 20 2020 As anticipated, this year has seen a number of fiduciary and best interest investment advice regulations at both the federal and state levels. Firms…

Carol T. McClarnon, W. Mark Smith, John H. Walsh, Bria M. Adams, Eric A. Arnold, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Ben Marzouk, Alexa R. Shockley.

The emerging patchwork of fiduciary investment advice regulation - Putting the pieces together (update)

USA - April 15 2020 As anticipated, 2020 has seen a number of fiduciary and best interest advice regulations advance at both the federal and state levels. Firms subject…

Carol T. McClarnon, W. Mark Smith, Bria M. Adams, Eric A. Arnold, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Ben Marzouk, Alexa R. Shockley.