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SEC Releases FAQ on RIA Revenue Sharing, 12b-1 and Other Compensation Disclosures

USA - October 25 2019 Last Friday, the staff of the SEC Division of Investment Management (the “Staff”) released an FAQ on disclosures of conflicts related to investment...

Lauren B. Henderson, Lauren C. Jackson, Jeffrey T. Skinner.

States Sue SEC in Ongoing Fight over Reg BI

USA - September 11 2019 The political melee surrounding Regulation Best Interest (“Reg BI”) escalated yesterday with the filing of a lawsuit against the SEC by several state...

John I. Sanders, Lauren C. Jackson, Jeffrey T. Skinner.

SEC Guidance on Proxy Voting Concerns Smaller Mutual Funds

USA - August 29 2019 Last week, the SEC issued guidance with respect to the proxy voting responsibilities of investment advisers (the “Proxy Guidance”)...

John I. Sanders, Lauren C. Jackson, Jeffrey T. Skinner.

OCIE Supervision Initiative Finds Holes in RIA Supervision & Disclosure Policies

USA - July 24 2019 The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert today (the “Alert”) identifying various compliance...

Lauren C. Jackson.

Private Equity, Venture Capital, and Hedge Funds May Get Boost from SEC

USA - June 20 2019 On June 18th, the SEC issued a Concept Release (the “Concept Release”) seeking public comment on ways to simplify, harmonize, and improve the rules...

John I. Sanders, Lauren C. Jackson, Jeffrey T. Skinner.