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Results:1-10 of 3,919

OCIE Risk Alert Highlights Adviser Best Execution Deficiencies
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • September 20 2018

Investment advisers, as fiduciaries, have an obligation to seek “best execution” of client transactions when selecting broker-dealers and executing client trades. This duty to seek


Financial advisor pleads guilty to money laundering in PetroEcuador case
  • Buckley Sandler LLP
  • USA
  • September 18 2018

On September 11, a Miami-based financial advisor pleaded guilty to one count of conspiracy to commit money laundering in connection with his role in


ETF Roundup - Issue 4
  • Morgan Lewis
  • USA
  • August 13 2018

The US Securities and Exchange Commission (SEC) voted unanimously on June 28 to propose Rule 6c-11 under the Investment Company Act of 1940 (1940 Act)


Equity Capital Markets in Mexico
  • Von Wobeser y Sierra SC
  • Mexico, Global
  • July 31 2018

A structured guide to equity capital markets in Mexico


FASEA releases draft examination guidance
  • Hall & Wilcox
  • Australia
  • July 23 2018

On 11 July, the Financial Adviser Standards and Ethics Authority (FASEA) released draft guidance, Consultation Paper 3: Financial Adviser Examination


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


Applicable Federal Rates and Code Section 7520 Rate for August 2018
  • Greenberg Traurig LLP
  • USA
  • July 20 2018

The applicable federal rates (AFRs) under Internal Revenue Code (Code) Section 1274(d) and the Code Section 7520 rate (7520 rate) for a particular


Be Careful What you Post - SEC Continues To Focus on the Use of Social Media by Investment Advisers
  • K&L Gates
  • USA
  • July 17 2018

On July 10, 2018, the Securities and Exchange Commission (the “SEC”) reaffirmed the application of the securities laws to social media use


CFTC, SEC Sign New Memorandum of Understanding on Information Sharing
  • Morgan Lewis
  • USA
  • July 17 2018

The US Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) collectively the Commissionsannounced


Guidance on Direct Listings: NYSE Memo and FINRA Notice 18-11
  • Mayer Brown
  • USA
  • July 13 2018

On February 2018, the Securities and Exchange Commission (“SEC”) approved the New York Stock Exchange’s (the “NYSE”) proposal to permit qualifying