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Securities › Fiduciary Duty › Investment Firms

K&L Gates LLP

Asset Management Regulatory Year in Review 2024

K&L Gates LLP on

2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more

Morris, Manning & Martin, LLP

Fiduciary Duties of Private Fund Advisers and Market Expectations when Outsourcing Fund Administration

Morris, Manning & Martin, LLP on

The international accounting firm RSM recently published a white paper/client alert regarding outsourcing private equity fund administration.  This article raises very interesting points.  As firms that focus on the private...more

Mintz - Securities Litigation Viewpoints

Massachusetts Securities Division Begins Enforcement Of New State Fiduciary Conduct Standard

Mintz - Securities Litigation Viewpoints on

On September 1, 2020, the Massachusetts Securities Division (“MSD”) began enforcing a new state regulation that holds all broker-dealers and their agents to a fiduciary conduct standard requiring them to “make recommendations...more

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