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Fiduciary Duty › Investment Adviser › Capital Markets

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

Morris, Manning & Martin, LLP

Fiduciary Duties of Private Fund Advisers and Market Expectations when Outsourcing Fund Administration

Morris, Manning & Martin, LLP on

The international accounting firm RSM recently published a white paper/client alert regarding outsourcing private equity fund administration.  This article raises very interesting points.  As firms that focus on the private...more

Snell & Wilmer

SEC Division of Examinations Priorities for 2025: Examinations Will Prioritize New Rules for Form PF and Regulation S-P, Fiduciary...

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On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) issued its annual examination priorities for fiscal year 2025. As with its 2024 examination...more

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