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OCIE Reminds Investment Advisers of Transfer Agent Compliance Risks

USA - February 27 2019 The handling of shareholder funds by transfer agents (“TAs”) has long been an examination priority of the SEC’s Office of Compliance Inspections and...

John I. Sanders, Alexandra M. Fenno.

Form 13F Filing Deadline Looms for Advisers

USA - February 4 2019 For new and growing investment advisers, 2019 may bring an additional filing obligation. Section 13(f) of the Securities Exchange Act of 1934 has...

John I. Sanders, Kiki M. Scarff.

SEC Works to Resume Normal Operations, Issues Post-Shutdown Guidance

USA - January 29 2019 After limiting its operations during the partial federal government shutdown, the SEC is working to resume normal operations this morning. The...

John I. Sanders, Lauren C. Jackson.

Insights: Alerts State Regulators Move Forward with Imposing State-Specific Fiduciary Standards on BDs and IAs

USA - January 28 2019 Broker-dealers (“BDs”) and investment advisers (“IAs”) have witnessed a flurry of regulatory activity in recent years aimed at defining the duties...

John I. Sanders, Lauren C. Jackson, Alexandra M. Fenno.

SEC Risk Alert Provides Electronic Messaging Guidance to RIAs

USA - January 15 2019 The SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) recently issued a risk alert (the “Alert”) regarding electronic messaging by...

John I. Sanders, Alexandra M. Fenno.