On October 5, 2023, Faegre Drinker, PINE Advisor Solutions and RSM (US) LLP (RSM) co-hosted the annual Rocky Mountain Fund Advisers Summit (the Summit) in Denver. Interactive panels of industry specialists discussed recent...more
The Securities and Exchange Commission (SEC) has made headlines with its enforcement actions against Wall Street firms for the use of “off-channel” communications by their supervised persons. “Off-channel” communications...more