Michael Manley

Michael Manley

Venable LLP

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Business News Digest – August 2014

In this issue: - Draft Forms Released for the Affordable Care Act's Health Coverage Reporting Requirements - FINRA Targets Broker-Dealer Order Routing and Execution Quality of Customer Orders - Potential...more

8/12/2014 - Affordable Care Act Banks CFPB Compliance Discrimination Enforcement Enforcement Actions Executive Orders FDA Federal Contractors FINRA First Sale Doctrine Healthcare Healthcare Reform LGBT Reporting Requirements Sexual Orientation Discrimination Subsidies Tax Credits

FINRA Targets Broker-Dealer Order Routing and Execution Quality of Customer Orders

The Financial Industry Regulatory Authority (“FINRA”) has initiated a potentially impactful examination of broker-dealer order routing and execution. FINRA recently issued a targeted examination letter ("Order Routing and...more

7/15/2014 - Broker-Dealer Compliance Enforcement FINRA

Business News Digest – June 2014

In this issue: - SEC Warns Private Equity Fund Advisers about Compliance Shortcomings - Why the 50 Percent Rule Deserves 100 Percent Attention - Exactly How Much Omega-3 Is in There? -...more

6/4/2014 - Celebrity Endorsements CFPB Enforcement Enforcement Actions Estate Tax FCPA FTC Instrumentality Non-Profits Nonbank Firms Parental Leave Private Equity Private Equity Funds SEC

SEC Warns Private Equity Fund Advisers about Compliance Shortcomings

Andrew J. Bowden, Director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) delivered remarks at last week's Private Equity International (PEI) 2014 Compliance Forum that...more

5/19/2014 - Compliance Investment Advisers Act of 1940 OCIE Private Equity Private Equity Funds SEC

Business News Digest – April 2014

In this issue: - Cybersecurity Assessments – Using the Tool Well - A SOX in the Gut: Supreme Court Vastly Expands Workplace "Whistleblower" Law - SEC to Scrutinize Never-Examined Investment...more

4/3/2014 - CFPB Class Action Coca Cola Compliance Contractors Cyber Attacks Cybersecurity Embezzlement FCPA Food Labeling Foreign Investment Fraud Lawson v FMR POM Wonderful Prepaid Payment Products Russia Sanctions Sarbanes-Oxley SCOTUS SEC Student Loans Suspensions & Debarments Ukraine Whistleblower Protection Policies Whistleblowers

SEC to Scrutinize Never-Examined Investment Advisers

The Securities and Exchange Commission (SEC) recently issued two important announcements regarding its examination of SEC-registered investment advisers. In January 2014, the SEC’s Office of Compliance Inspections and...more

3/12/2014 - Investment Adviser NEP OCIE SEC

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