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Results:1-10 of 121

As DOL Fiduciary Rule is Officially Vacated, Focus Shifts to SEC
  • Proskauer Rose LLP
  • USA
  • June 26 2018

After nearly a decade in the making, the Department of Labor’s fiduciary rule appears to be officially dead. On June 21st, the U.S. Court of Appeals


SEC Announces 2018 Compliance Outreach Program Seminar for Investment Advisers and Investment Companies
  • Proskauer Rose LLP
  • USA
  • February 16 2018

On Tuesday, February 13th, the Securities and Exchange Commission (SEC) announced the opening of registration for its 2018 national compliance


2017 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • USA, United Kingdom, Central & South America, China, Hong Kong
  • November 17 2017

The following annual review and outlook (Annual Review) is a summary of some of the significant changes and developments that occurred in the past


Department of Labor Requests Additional 18-Month Delay of Certain Fiduciary Rule Requirements
  • Proskauer Rose LLP
  • USA
  • August 11 2017

On August 9, 2017, the Department of Labor (“DOL”) stated in a court filing that the Office of Management and Budget (“OMB”) is reviewing a proposal


DOL’s Fiduciary Rule To Apply June 9th, Investment Managers and Advisers May Want to Take Action Now
  • Proskauer Rose LLP
  • USA
  • May 24 2017

The U.S. Department of Labor's (DOL) final rule significantly expanding when a person is considered to be a fiduciary under the Employee Retirement


Claims Against Investment Adviser in ERISA Fee Litigation Case Dismissed
  • Proskauer Rose LLP
  • USA
  • May 3 2017

A federal district court in North Carolina dismissed claims by BB&T Corp.’s 401(k) plan participants that Cardinal Investment Advisors, LLC, the


U.S. DOL Proposes Delay of Conflict of Interest Rule and Related Exemptions
  • Proskauer Rose LLP
  • USA
  • March 2 2017

On March 1, 2017, the U.S. Department of Labor proposed a 60-day delay of the Conflict of Interest Rule and related exemptions (currently set to be


Putting a Premium on Illiquidity: Some Reflections on the SEC’s Scrutiny of Valuation Practices and Disclosures
  • Proskauer Rose LLP
  • USA
  • August 19 2016

Valuation is typically near the top of the list when the SEC's enforcement division and exam staff disclose their priority topics for private funds


Philadelphia, PA Bans Use of Credit Information in Employment Decisions
  • Proskauer Rose LLP
  • USA
  • July 8 2016

Effective as of July 7, 2016, amendments to the Philadelphia, PA Fair Practices Ordinance make it an unlawful discriminatory practice for an employer


Eleventh Circuit Clarifies Broker-Dealer’s Liability For Employee’s Fraud
  • Proskauer Rose LLP
  • USA
  • June 2 2016

Will a broker-dealer be liable when a financial advisor employed by the firm solicits investments as part of a fraudulent scheme, where the firm