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Advisers Act Regulatory Series: 2021 First Quarter Update

USA - March 11 2021 Join Eversheds Sutherland attorneys Clifford Kirsch, Michael Koffler, Carol McClarnon and Alexa Shockley for the latest in our quarterly series of…

Carol T. McClarnon, Clifford E. Kirsch, Michael B. Koffler

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, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler

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, Holly H. Smith

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