Investing Charity and Foundation Assets in Turbulent Times With Jennifer Nelson
The Preferred Return Podcast | Balancing Act: Strategies for GPs and LPs in Today's Market
Exploring the Administration's Regulatory Impact on Private Equity — PE Pathways Podcast
Maximizing Financial Growth: Insights on HSAs and Smart Investment Strategies with Shaun Eddy
Digital Planning Podcast Episode: Planning for Your Digital Legacy
[Podcast] Private Market Talks: Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
[Podcast] Private Market Talks: Scoping Out Secondaries with Portfolio Advisors' Liz Campbell
The Preferred Return Podcast | AIFMD II – Implementation Begins
The Preferred Return Podcast | Spin-outs and New Fund Sponsors
AdvisorEsq Podcast Series - Episode 8 - Executive Insights: Succeeding as a COO at an RIA Firm
Nonprofit Basics: Unpacking Prudent Investments, PRIs and MRIs
Fintech Focus Podcast | Are Regulators Dictating Fintech Deal Terms?
A 2024 Economic Outlook - Troutman Pepper Podcast
PODCAST: Williams Mullen's Benefits Companion - New Federal Rule Aims to Hold Investment Advisors to a Higher Standard
AGG Talks: Cross-Border Business - Enterprise Ireland and U.S. Market Entry
Cornerstone Research Experts in Focus: Jules van Binsbergen
Podcast Episode 189: Adding Context to Compliance and Color To Your Legal Practice
Basics of Impact Investing: A Conversation About Investment Policies and Evaluation Metrics For ESG Investors
WorldSmart: Un Puente Entre Dos Mundos— Inversiones Entre EEUU y América Latina
Coffee & Regs - Investment Monitoring Rewind & 2022 Preview
On June 12, 2025 the Securities and Exchange Commission (“SEC”) formally withdrew fourteen outstanding rule proposals issued by the prior administration. Although most observers doubted that the current Commission would adopt...more
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Last Lap in SEC RILA Rulemaking Critical Unresolved Issues - Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC...more
SEC Rules and Amendments - Liquidity Rule Amendments: Interval Funds to the Rescue? On November 2, 2022, the Securities and Exchange Commission (SEC) voted to propose significant amendments to Rule 22e-4 under the...more
On January 10, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report), available at: 2023 Report on FINRA’s Examination and...more
The investment management industry faces a range of proposed new SEC regulations, including ESG and fund name rules, and the agency is seeking comments that could lead to other new rules. Also, a reminder of approaching...more
In recent weeks, the U.S. Securities and Exchange Commission (the “SEC”) has kicked off a wholesale transformation in the regulation of the private funds industry. These actions include rule proposals, enforcement actions,...more
SEC Chair’s Senate Committee Testimony on SEC Initiatives On October 5, 2021, SEC Chair Gary Gensler provided testimony to the U.S. House of Representatives Committee on Financial Services. Several of the initiatives are of...more
This past summer’s string of cyber enforcement actions signals that cybersecurity has become a top priority for the US Securities and Exchange Commission (“SEC”). This focus is consistent with the SEC’s Division of...more
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. The Financial Industry Regulatory Authority, Inc....more
In this issue, we cover regulatory developments impacting the investment management sector, including updates on activism activity during the 2021 proxy season, as well as the status of multiple SEC and NYSE proposals,...more
In this issue, we provide a summary retrospective of regulatory, litigation and industry developments impacting the investment management sector during the second half of 2020, including SEC guidance and exemptive orders...more
- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more
- In the age of broad corporate teleworking brought on by COVID-19, OCIE of the SEC has observed during recent examinations that investment advisers, broker-dealers and investment companies are subject to an increased threat...more
Fund and Investment Management January 2019 (No. 1) REGULATORY UPDATES Policy Initiatives Set Forth by the U.S. Securities and Exchange Commission’s (“SEC”) Investment Management Division On September 28, 2018, Division of...more
New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more
New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more
On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more
In August 2017, the SEC’s Office of Compliance Inspections and Examinations issued a Cybersecurity risk alert directed at financial advisory firms. As part of the SEC’s 2014 Cybersecurity Initiative, seventy-five firms,...more
The National Exam Program of the SEC’s Office of Compliance Inspections and Examinations (OCIE) recently published its observations from the second generation of its Cybersecurity Initiative. It reported overall improvement...more
The SEC continues to focus on cybersecurity as an area of concern within the investment management industry....more
On May 15, Colorado became the latest state to publish major regulations tackling cybersecurity in the financial services industry when the Colorado Division of Securities released amendments to existing division rules...more
On May 17, 2017, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) issued a risk alert highlighting the importance of registered broker-dealers,...more
The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert in the wake of the widespread WannaCry ransomware attack that has inflicted hundreds of thousands...more