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Retirement Plan › Asset Management › Investment Adviser

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Mariner makes a deal by

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

Mariner announced the acquisition of Cardinal Investment Advisors. Mariner’s advisory assets will grow to $550 billion in the first quarter of 2025....more

Proskauer - The Capital Commitment

SEC Cracks Down on Pension Fund Advisers’ Undisclosed Compensation and Conflicts

Proskauer - The Capital Commitment on

In August 2020, the SEC issued two orders against VALIC Financial Advisors Inc. (VFA) related to VFA’s management of 403(b) and 457(b) plans. These matters arise out of two of the SEC’s enforcement initiatives, the Teachers...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – SEC enforcement

Eversheds Sutherland (US) LLP on

The SEC’s Division of Enforcement is likely to be active in 2020, investigating several issues important to broker-dealers and investment advisers. In this Bottom Line videocast, Brian Rubin and Adam Pollet discuss: Cash...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – DOL: What’s ahead

Eversheds Sutherland (US) LLP on

Over the next year, the Department of Labor (DOL) will likely be issuing guidance in a number of areas that could impact asset managers and financial services companies. In this Bottom Line videocast, Carol McClarnon and...more

Foley & Lardner LLP

Emerging Private Fund Manager Guide for Raising Institutional Investor Capital

Foley & Lardner LLP on

Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers. Many of these fund managers are well-established with a...more

Sullivan & Worcester

Asset Managers: Are You Ready for Your Exam? Steps You Should Take Now

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Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers. This week, we want to get you ready for your exam. Here are the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Things They Never Tell You as a 401(k) Plan Sponsor

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

When my wife and I bought our house, there were quite a few things that the previous owner forgot to tell us such as the fact they never bothered to pull the pipes from the dental office run by a previous owner 20 years...more

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