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Financial Markets and Funds Quick Take | Issue 19

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

SEC 2023 Examination Priorities

On February 7, the Securities and Exchange Commission’s (SEC) Division of Examinations (Division) published its examination priorities for 2023.1 According to this statement, the Division’s mission is to promote compliance,...more

SEC Increases Registered Investment Adviser Performance Compensation Net-Worth and Assets-Under-Management Tests

Key Points - Effective as of August 16, the dollar amount tests specified in the definition of “Qualified Client” in Rule 205-3 under the Investment Advisers Act of 1940 (Advisers Act) will increase for the net-worth...more

SEC Enforcement Actions Against Fund Advisers Continues

Key Points - - Recent Securities and Exchange Commission (SEC) enforcement actions against investment advisers and fund managers point to continued pressure points in the areas of conflicts of interest and disclosures to...more

SEC Charges Broker-Dealer/Adviser With Inadequate Cybersecurity Procedures

On September 26, the Securities and Exchange Commission (SEC) charged a dually registered broker-dealer and investment adviser (the "Registrant") with deficient cybersecurity procedures. This is the first SEC action alleging...more

Corporate & Financial Weekly Digest, Featuring Topics on Investment Advisers, Derivatives, Cryptocurrencies, UK and EU...

INVESTMENT COMPANIES AND INVESTMENT ADVISERS - SEC Releases Updates to Custody Rule Frequently Asked Questions - On June 5, the Securities and Exchange Commission’s Division of Investment Management staff (Staff)...more

SEC Enforcement Action Alleges an Adviser Failed to Adopt Adequate Cybersecurity Policies and Procedures; SEC Issues an Investor...

On September 22, 2015, the Securities and Exchange Commission (SEC) filed a settled administrative proceeding[1] alleging that a registered investment adviser failed to adopt cybersecurity procedures in violation of an SEC...more

SEC Enforcement Action Signifies the Need for Investment Advisers to Adopt Written Expense Allocation Policies

On June 29, the Securities and Exchange Commission charged Kohlberg Kravis Roberts & Co. (KKR) with violations of Sections 206(2) and 206(4) of the Investment Advisers Act of 1940, as amended, and Rule 206(4)-7 thereunder for...more

Corporate & Financial Weekly Digest - Volume X, Issue 26

In this issue: - SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures - SEC Proposes Rule Requiring Executive Compensation Clawbacks - FINRA Requests Comment on Revised Discretionary...more

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