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Putting Teeth Into the Compliance Rule: SEC Imposes US$5 Million Penalty on Investment Adviser for Valuation Practices

USA - July 9 2019 The SEC’s penalty against fixed-income manager Deer Park signals increased vigilance over investment advisers’ valuation policies for client assets...

David W. DeCarlo.

Key Appellate Court Ruling Ups the Ante for Investment Advisers Act Violations

USA - June 25 2019 On April 30, 2019, the United States Court of Appeals for the District of Columbia Circuit issued its decision in The Robare Group, Ltd., et al. V...

Jack M. McNeily.

FINRA Launches New Self-Reporting Initiative for 529 Savings Plan Violations

USA - February 28 2019 On January 28, 2019, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19- 04 announcing its 529 Plan Share Class...

Jack M. McNeily, Stephen P. Wink.

SEC Ends 2018 Signaling Its Approach to Regulating the Cryptocurrency Markets

USA - January 15 2019 The US Securities and Exchange Commission (SEC, or the Commission) recently issued a public statement1 and...

Cameron R. Kates, Douglas K. Yatter, Stephen P. Wink.

SEC Charges “ICO Superstore” as Unregistered Broker-Dealer

USA - October 19 2018 Latham & Watkins operates worldwide as a limited liability partnership organized under the laws of the State of Delaware (USA) with affiliated limited...

Douglas K. Yatter, Naim Culhaci, Stephen P. Wink.