Videocast: Asset management regulation in 2020 videocast series – The ADV season
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
Life Sciences Quarterly: A View From Washington: What to Expect From the SEC
Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more
Riding the coattails of recent news, FINRA announced on November 14th that it is conducting a targeted exam of firm practices regarding retail communications concerning “Crypto Asset” products and services....more
On March 30, 2022, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) announced its examination priorities for fiscal year 2022. The annual publication of the Division’s...more
As Chairman Jay Clayton’s tenure at the Securities and Exchange Commission (SEC) likely enters its final year — regardless of the outcome of the next presidential election — the SEC remains focused on priorities such as...more