USA - March 12 2021
On March 3, 2021, the Division of Examinations of the US Securities and Exchange Commission (the "Examinations Division" and "SEC," respectively)…
Peter M. McCamman, Adam D. Kanter, Leslie S. Cruz.
USA - March 1 2021
On February 26, 2021, the Division of Examinations ("Division") of the US Securities and Exchange Commission ("SEC") published a risk alert regarding…
Leslie S. Cruz.
USA - February 10 2021
On December 22, 2020, the US Securities and Exchange Commission (SEC) adopted amendments under the Investment Advisers Act of 1940, as amended…
Peter M. McCamman, Adam D. Kanter, Leslie S. Cruz.
USA - February 9 2021
Fintech companies can face a variety of regulatory challenges under the federal securities laws, including one that often receives minimal attention…
Leslie S. Cruz.
USA - December 7 2020
On November 9, 2020, the Office of Compliance Inspections and Examinations ("OCIE") of the US Securities and Exchange Commission ("SEC") published a…
Peter M. McCamman, Adam D. Kanter, Leslie S. Cruz.