2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more
2/12/2025
/ Asset Management ,
Australia ,
Capital Markets ,
Cryptoassets ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Financial Services Industry ,
Foreign Investment ,
Hong Kong ,
Investment Firms ,
Investment Funds ,
Investment Management ,
Investors ,
Japan ,
Regulatory Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Singapore ,
Sustainability ,
Sustainable Finance
In a strong opinion, a federal court in the Southern District of New York recently dismissed a suit alleging that the defendant charged “excessive” fees to a mutual fund....more
Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more
3/31/2016
/ Best Interest Contract Exemptions ,
BSA/AML ,
CFTC ,
CMBS ,
Corporate Crimes ,
Cybersecurity ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Halliburton v Erica P. John Fund ,
Individual Accountability ,
Public Offerings ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Self-Reporting ,
SIFMA ,
Toys R Us