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Regulatory Oversight › Fiduciary Duty › Due Diligence

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Empower to offer 401(k) private equity investments to participants

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Empower recently made headlines by announcing a bold new initiative: giving defined contribution (DC) retirement plan participants access to private market investments. On the surface, it sounds like a win—more choice,...more

Conyers

Understanding Outsourcing Obligations for Cayman Islands Funds

Conyers on

It has been two years since the Cayman Islands Monetary Authority (CIMA) introduced its Rule on Corporate Governance for Regulated Entities (the “Corporate Governance Rule”), and a year and a half since it came into force....more

Morrison & Foerster LLP

SEC Identifies Additional Risk Areas from Examinations of Private Fund Advisers

Morrison & Foerster LLP on

On January 27, 2022, the SEC’s Division of Examinations (“EXAMS”) released a risk alert (the “Risk Alert”) outlining its observations regarding compliance issues uncovered by its staff in examinations of registered investment...more

Cooley LLP

Blog: SEC adopts guidance for investment advisers and proxy advisory firms—will it make a difference?

Cooley LLP on

At an open meeting on August 21, 2019, the SEC voted (three to two) to publish guidance aimed at addressing some of the long-simmering controversy surrounding the reliance by investment advisers on proxy advisory firms. Do...more

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