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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, Adam D. Kanter, Stephanie M. Monaco

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, Adam D. Kanter, Wonji L. Kim, Stephanie M. Monaco, Anna T. Pinedo, Stephen Vogt

SEC’s Division of Examinations 2021 Exam Priorities - Investment Advisers and Investment Companies

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)…

Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco

What Is the Fate of the New Marketing Rule for Investment Advisers?

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…

Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco

SEC’s OCIE Publishes Investment Adviser Branch Office Risk Alert

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…

Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco