Articles

Results 1 to 5 of 10
Most popular |Most recent


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…

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

SEC proposes exempting certain finders from broker registration

USA - October 29 2020 On October 7, 2020, the US Securities and Exchange Commission (SEC) proposed granting exemptive relief from the broker registration…

Issa J. Hanna, Michael B. Koffler, Susan S. Krawczyk.

Recent SEC enforcement raises questions for bank collective trust funds

USA - October 6 2020 The SEC, just a few days ago, announced an enforcement action against a trust company for failure to exercise substantial investment authority over…

Clifford E. Kirsch.

Advisers Act Regulatory Series: 2020 Third Quarter Update

USA - September 16 2020 Join Eversheds Sutherland attorneys Clifford Kirsch, Michael Koffler, John Walsh, Ben Marzouk, Bria Adams and Alexa Shockley for the latest in our…

Ben Marzouk, Bria M. Adams, Clifford E. Kirsch, John H. Walsh, Michael B. Koffler.

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…

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