AdvisorEsq Podcast Series - Episode 8 - Executive Insights: Succeeding as a COO at an RIA Firm
Crypto in the Crosshairs: What Regulatory Themes Characterized 2020?
Brexit & Financial Services: Preparing for the End of the Transition Period
Protecting Intellectual Property - Investment Management Roundtable Discussion
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Podcast: Supreme Court May Resolve Key ERISA Statute of Limitations and Proprietary Fund Litigation Questions
Videocast: Form CRS delivery obligations
Podcast: Private Funds Update: The UK Stewardship Code 2020
The Deal Video: Pepper Hamilton's Ed Dartley Talks Valuations
In its recent consultation [CP25/10: Definition of capital for FCA investment firms] (Consultation), the Financial Conduct Authority (FCA) has stated that it wants to amend its capital rules for investment firms — such as...more
We have previously written regarding founders’ choice of entity decisions as well as a number of tips for entrepreneurs to keep in mind as their businesses begin to operate and grow. But for those founders who have eyes on...more
Over three and a half years since the death of George Floyd spurred some members of the venture capital community to enact promises to increase their investments in diverse entrepreneurs, California has enacted legislation in...more
The unique business opportunities created by digital health companies can carry heightened regulatory risks. As investors increase their focus on the digital health sector and as digital health companies engage in more...more
The SEC recently adopted Rule 148 to address whether companies that present at “demo days” held by angel investor groups, incubators or accelerators are participating in a “general solicitation” for investments under...more
Letter from Our Co-Chairs - As the digital transformation of financial markets accelerates at breakneck speeds, fintech presents significant opportunities and challenges for both investors and innovators around the world. ...more
We’ve been hearing a lot about Verizon’s bid for Yahoo. But it’s not alone. In fact, it’s bringing some odd folks to the table together. Case in point: Warren Buffet and Quicken Loans’ Dan Gilbert – NYTimes and Bloomberg...more