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SEC Division Director: Staff MiFID II Research Compensation Relief to Expire July 2023

USA - August 8 2022 Unless you attended the PLI Investment Management 2022 program on July 26, 2022, you may have missed an important announcement made by the US…

Leslie S. Cruz, Steffen Hemmerich, Peter M. McCamman, Stephanie M. Monaco

SEC Request for Comment on “Information Providers”

USA - June 24 2022 On June 15, 2022, the Securities and Exchange Commission (the "SEC") issued a request for comment to "help determine which `information providers,'…

Bradley Berman, Marla L. Matusic, Stephanie M. Monaco, Anna T. Pinedo

US SEC Proposes Rules Regarding ESG for Certain Funds and Advisers

USA - May 26 2022 At an open meeting on May 25, 2022, the US Securities and Exchange Commission (“SEC” or “Commission”) approved two new proposals that will impact the…

J. Paul Forrester

US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities

USA - April 14 2022 On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its…

Leslie S. Cruz, Steffen Hemmerich, Wonji L. Kim, Peter M. McCamman, Stephanie M. Monaco, Anna T. Pinedo, Stephen Vogt

US SEC Cyber Risk Management Proposed Rules: Analysis for Investment Advisers, Investment Companies, BDCs and Broader Implications for Private Sector

USA - April 13 2022 On February 9, 2022, the Securities Exchange Commission (“SEC” or “Commission”) voted 3-1 to propose rules, forms and amendments concerning…

Leslie S. Cruz, Rajesh De, Vivek K. Mohan, Joshua M. Silverstein, David A. Simon, Christina M. Thomas, Jennifer L. Weinberg