Kelley A. Howes

Kelley A. Howes

Morrison & Foerster LLP

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Investment Management Legal + Regulatory Update – February 2017

REGULATION - DOL Issues Additional Guidance on Fiduciary Rule - On January 13, 2017, the U.S. Department of Labor (“DOL”) issued a second set of guidance on its new fiduciary rules, which are scheduled to become...more

2/2/2017 - Attorney-Client Privilege Broker-Dealer Brokers Capital Acquisition Broker (CAB) Conflicts of Interest Cross-Selling DOL Examination Priorities Exploitation Fiduciary Rule FINRA Investment Adviser Liquidity Risk Management Rule Mutual Funds OCIE Pay-To-Play Sales Load Variations SEC Section 36(b) Swing Pricing Trustees

FINRA Fine Addresses Broker Compensation and Conflicts of Interest

A recent enforcement action by FINRA underscores the regulator’s continuing concern regarding how financial advisers are paid to sell investment products. In a case announced on November 28, 2016, a member firm settled...more

11/30/2016 - Broker-Dealer Brokers Conflicts of Interest Financial Adviser Financial Products FINRA Investors

The Administration Proposes Imposing a Fiduciary Standard on Retirement Advisers

Yesterday, the Obama administration called on the Department of Labor to draft rules that, in effect, would require brokers who provide retirement advice to abide by a fiduciary standard. In a speech at an event hosted by...more

2/25/2015 - Broker-Dealer Brokers CFPB Dodd-Frank DOL ERISA Fiduciary Duty Financial Adviser Obama Administration Proposed Regulation SEC

Investment Management Legal + Regulatory Update -- February 2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

2/14/2013 - ALJ Brokers CoC Enforcement Fines FINRA Hedge Funds Investment Adviser Investment Funds SEC Stock Repurchases Valuation

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