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PTE 2020-02 and Rollover Documentation

USA - March 29 2022 Starting July 1, investment advisors will be required to document the reasoning behind rollover recommendations for compliance with PTE 2020-02. This…

Adam B. Cohen, Carol T. McClarnon

SEC proposes amendments to Form PF

USA - March 8 2022 On January 26, 2022, the US Securities and Exchange Commission (SEC) proposed amendments to Form PF, the confidential reporting form for certain…

Dwaune L. Dupree, Krystyna Blokhina Gilkis, Clifford E. Kirsch, Michael B. Koffler, Cynthia M. Krus

The Impact of the SEC’s New Marketing Rule on Private Fund Advisers: What You Need to Know

USA - June 23 2021 Join Michael Voynich and Issa Hanna on June 23 as they present “The Impact of the SEC’s New Marketing Rule on Private Fund Advisers: What You Need to…

Michael J. Voynich

DOL warns the ERISA fiduciary debate is far from over

USA - April 27 2021 In a troubling development, the US Department of Labor (DOL) has announced its expectation that it will proceed to propose yet another iteration of…

Adam B. Cohen, Carol T. McClarnon, W. Mark 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…

Bria M. Adams, Clifford E. Kirsch, Michael B. Koffler, Alexa R. Shockley