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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 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)


Cyber Lessons From the SEC?
  • Patterson Belknap Webb & Tyler LLP
  • USA
  • August 20 2018

Public companies worried about cybersecurity risk would be well served to pay attention to a recent crackdown by the U.S. Securities and Exchanges


OCIE Publishes Risk Alert on Most Frequent Best Execution Compliance Issues Found During Examinations
  • Dechert LLP
  • USA
  • August 7 2018

The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on July 11


OCIE Warns Advisers Regarding Best Execution Obligations
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • August 1 2018

On July 11, 2018, the Securities and Exchange Commission (SEC) issued a risk alert outlining certain compliance issues identified by its Office of


OCIE Issues Risk Alert on Issues Related to Best Execution by Investment Advisers
  • Drinker Biddle & Reath LLP
  • USA
  • July 23 2018

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) identified common deficiencies cited in