On March 9, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-08 to provide guidance and regulatory relief related to pandemic-related business continuity planning....more
In a very unusual lawsuit, attorneys general from seven states and the District of Columbia recently sued the SEC, and its chair, Jay Clayton, for declaratory and injunctive relief seeking to block the effectiveness of...more
9/25/2019
/ Best Interest Standard ,
Broker-Dealer ,
Declaratory Relief ,
Disclosure Requirements ,
Dodd-Frank ,
Duty of Care ,
Fiduciary Duty ,
Injunctive Relief ,
Investment Adviser ,
Investment Management ,
Regulation Best Interest ,
Regulatory Agenda ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Standard of Conduct
The Investment Management Update keeps you apprised of recent developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more
6/18/2019
/ Best Interest Standard ,
Broker-Dealer ,
Business Development Companies ,
Conflicts of Interest ,
Disclosure Requirements ,
ETFs ,
Financial Regulatory Reform ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
Offerings ,
Regulation S-P ,
Retail Investors ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Standard of Care
Regulation BI, Form CRS, Adviser or Advisor, and Fiduciary Duties of Adviser -
In a flurry of proposed rulemaking that added up to more than 900 pages of reading material, the Securities and Exchange Commission (SEC)...more
7/5/2018
/ Best Interest Standard ,
Broker-Dealer ,
Choice of Entity ,
Conflicts of Interest ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
Investment Products ,
Liquidity Risk Management Rule ,
Regulatory Oversight ,
Regulatory Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC)