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SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices

On April 26, the SEC’s Division of Examinations (EXAMS) issued a risk alert on the importance of broker-dealers and investment advisers (collectively, “firms”) establishing and following written policies and procedures aimed...more

5/9/2023 / Broker-Dealer , Cybersecurity , Data Breach , Data Security , Investment Adviser , Regulation S-P , Securities and Exchange Commission (SEC)

Investment Management Update - June 2022

Covering legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended March 31, 2022. ...more

6/3/2022 / Broker-Dealer , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Investment Management , Securities and Exchange Commission (SEC)

Investment Management Update - February 2022

Covering legal developments and regulatory news for funds, their advisers, and industry participants for the period July 2021 through December 2021. ...more

2/22/2022 / Investment Adviser , Investment Advisers Act of 1940 , Investment Company Act of 1940 , Securities and Exchange Commission (SEC) , Universal Proxy Cards

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