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Enforcement Actions › Investment Adviser › Required Forms

Morris, Manning & Martin, LLP

"Custody" for Registered Investment Advisers in Unusual Circumstances

Morris, Manning & Martin, LLP on

For most registered investment advisers (RIAs), their annual update to Form ADV will be due on March 31, 2025. We have received several questions about “custody” and peculiar situations where RIAs may inadvertently have...more

Latham & Watkins LLP

SEC Brings Charges for Failure to File Forms 13F (Investment Manager Share Positions) and 13H (Large Trader Registration)

Latham & Watkins LLP on

The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and Exchange Commission...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - August 2023

Skadden, Arps, Slate, Meagher & Flom LLP on

Closed-End Fund Activism Update - Activist investors continue to take large positions in closed-end funds and engage in disruptive activity that may be harmful to long-term shareholders of retail closed-end funds. This...more

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