Publications

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Article Title Publication Date
SEC Approves Regulation Best Interest BulletPoint June 10, 2019
What U.S.- Based Investment Advisers Should Know BulletPoint June 2018
Does The Supreme Court’s Decision in Lucia Alter the Fairness of SEC Administrative Proceedings BulletPoint June 2018
What U.S.- Based Investment Advisers Should Know BulletPoint June 2018
Criminal Conviction Highlights the Risk of Insider Trading Liability for Using “Political Intelligence” BulletPoint May 2018
Top Six Advisory Fee and Expense Deficiencies Identified by OCIE BulletPoint April 2018
SEC Announces 2018 Examination Priorities BulletPoint February 2018
So You Want to Manage a Cryptocurrency Fund? U.S. Regulatory Rules to Consider First BulletPoint December 2017
General Data Protection Regulation Affects Investment Advisors with EU Clientele BulletPoint November 2017
SEC Amendments to Form ADV Effective on October 1, 2017 BulletPoint September 2017
2nd Circuit upholds insider trading conviction of Mathew Martoma, striking down a key holding of Newman BulletPoint August 2017
Supreme Court Clarifies “Personal Benefit”: Requirement for Insider Trading Liability BulletPoint December 2016
PATH Amendment to FIRPTA Affecting Non-US Pension Plan Investments in US Real Property BulletPoint February 2016
SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities BulletPoint January 2016
Cert Denied! Supreme Court Lets the Newman Decision Stand BulletPoint October 2015
SEC Proposed Rules Aim at Removing Confusion about the Registration of Affiliated Investment Advisers – Umbrella Registrations BulletPoint June 2015
Revised TIC B Forms May Impact Certain Investment Managers and Private Investment Funds BulletPoint January 2014
SEC Finalizes “Bad Actor” Rules BulletPoint September 2013
SEC Finalizes General Solicitation and “Bad Actor” Rules BulletPoint July 2013

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19 results found. Viewing page 1 of 1

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