Amina Batyreva

Proskauer Rose LLP

+ Follow Contact

Latest Posts › Investment Adviser

Share:

Effect of the New NYSE and Nasdaq Clawback Listing Standards on Registered Funds and BDCs

Beginning on December 1, 2023, companies listed on the New York Stock Exchange (“NYSE”) and the Nasdaq Stock Market (“Nasdaq”) will need to adopt and comply with policies providing for the recovery, or “clawback”, of...more

11/27/2023 / Business Development Companies , Clawbacks , Incentive Compensation , Investment Adviser , Investment Company Act of 1940 , Listing Standards , Nasdaq , NYSE , Registered Funds , Securities and Exchange Commission (SEC)

SEC Brings First Liquidity Rule Enforcement Action Against Investment Adviser and Fund Board

On May 5, 2023, the Securities and Exchange Commission ("SEC") filed charges against Pinnacle Advisors LLC ("Pinnacle Advisers"), an investment adviser, for allegedly aiding and abetting violations of Rule 22e-4 (the...more

6/6/2023 / Civil Monetary Penalty , Enforcement Actions , Investment Adviser , Liquidity , Liquidity Risk Management Rule , Securities and Exchange Commission (SEC) , Trustees , Trusts

SEC Staff Issues Bulletin on the Care Obligations of Advisers and Broker-Dealers to Retail Investors

On April 20, 2023, the staff of the Securities and Exchange Commission (the “SEC”) published an FAQ‑style bulletin[1] that provides guidance on the care obligations of broker‑dealers and investment advisers in providing...more

5/3/2023 / Broker-Dealer , Fiduciary-Standards , Investment Adviser , Regulation Best Interest , Retail Investors , Securities and Exchange Commission (SEC)

3 Results

View per page

Page: of 1