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Seward & Kissel LLP

SEC Charges Investment Advisers for Compliance Failures Relating to Cash Sweep Programs

Seward & Kissel LLP on

Quick Take: Indicative of a recent SEC focus on bank deposit sweep programs (BDSPs) offered to advisory clients through broker-dealers, the SEC recently settled charges against three dually registered investment advisers and...more

K&L Gates LLP

Asset Management Regulatory Year in Review 2024

K&L Gates LLP on

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

Cooley LLP

Blog: How Did Corporate Boards Become Afflicted With Economic ADHD?

Cooley LLP on

The author, the Executive Director of the Investor Responsibility Research Center Institute, begins with the evidence that the disease has taken hold: he first notes an academic study showing that “three quarters of senior...more

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