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OCIE Publishes Risk Alert Regarding Cash Solicitation Rule
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • November 5 2018

On October 31, 2018, the Office of Compliance Inspections and Examinations ("OCIE") published a National Exam Program Risk Alert (the "Risk Alert")


What's New for the 2019 Proxy Season: Momentum Grows for Proxy Voting Reform and Sustainability Disclosure
  • Weil Gotshal & Manges LLP
  • USA
  • October 3 2018

The past few weeks have been particularly eventful for those who follow the turbulent, complex world of proxy voting and shareholder activism.


SEC Sanctions Adviser and Portfolio Manager for Improper Cross Trades and Failure to Seek Best Execution
  • Morrison & Foerster LLP
  • USA
  • September 28 2018

In a recently settled enforcement matter, the SEC imposed a $1 million penalty on an investment adviser based on findings that the adviser violated


SEC Announces Roundtable on Proxy Process, Signals Potential Change in Approach to Proxy Advisory Firms
  • Vinson & Elkins LLP
  • USA
  • September 19 2018

Recent public statements by the Division of Investment Management of the U.S. Securities and Exchange Commission and by an SEC Commissioner have


SEC Signals Changing Views on Regulation of Proxy Advisory Firms
  • Brownstein Hyatt Farber Schreck LLP
  • USA
  • September 18 2018

In recent years, the friction between public companies and proxy advisory firms--companies that provide proxy vote recommendations to institutional


SEC Staff Withdraws Proxy Advisory Guidance Ahead of Fall Roundtable on Proxy Process
  • Sullivan & Cromwell LLP
  • USA
  • September 14 2018

Yesterday, the SEC's Division of Investment Management withdrew two interpretive letters issued in 2004 to Egan-Jones Proxy Services and Institutional


Three Notable Developments for Cryptocurrency Firms Portend Future Regulatory Enforcement Actions
  • Brownstein Hyatt Farber Schreck LLP
  • USA
  • September 13 2018

The price of bitcoin is down nearly 80 percent since January 2018. Many other cryptocurrencies are down with it and investors are bearish about the


Recent Development in Regulatory Enforcement of Digital Securities
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 12 2018

In a flurry of activity and confluence of developments, the SEC, FINRA and a Brooklyn federal judge have commenced actions and made rulings that


SEC Staff Issues Additional Guidance Regarding Inadvertent Custody
  • Vedder Price PC
  • USA
  • August 21 2018

In February 2017, the staff of the SEC's Division of Investment Management (the Staff) addressed circumstances in which an investment adviser may be


Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure
  • Vedder Price PC
  • USA
  • August 21 2018

Pursuant to an order dated June 4, 2018 (the Order), the SEC settled an administrative proceeding against investment adviser deVere USA, Inc. (DVU)