Albert Chen

Albert Chen

Dechert LLP

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Latest Publications


SEC Issues Guidance Update on Social Media Commentary in Investment Adviser Advertising

The staff of the Division of Investment Management (Staff) of the Securities and Exchange Commission (SEC) has issued an IM Guidance Update (Guidance Update) on the use of social media in investment adviser advertising. The...more

5/6/2014 - Advertising Guidance Update Investment Adviser Investment Advisers Act of 1940 Ratings SEC Social Media Testimonial Statements

SEC Issues No-Action Letter Expanding Interpretation of the Definition of “Knowledgeable Employee”

The staff of the Division of Investment Management of the U.S. Securities and Exchange Commission (the “Staff”) has issued a no-action letter in response to a request by the Managed Funds Association (the “MFA Letter”),...more

3/26/2014 - Actual or Constructive Knowledge No-Action Letters SEC

Upcoming Form PF Filing Deadline: April 30

As you are no doubt aware, the next Form PF filing deadline is nearly upon us. For many of you, this means making a Form PF filing on or before April 30, 2013. ...more

4/23/2013 - Deadlines Form PF

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