Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP

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Latest Posts › Investment Advisers Act of 1940

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Federal Highway Bill Eliminates Annual Privacy Notice Requirement for Financial Institutions

On December 4, President Obama signed the “Fixing America’s Surface Transportation Act’’ or the ‘‘FAST Act.” In addition to providing for highway and transportation spending, section 750001 of the FAST Act amended Section 503...more

12/16/2015 - Financial Institutions Fixing America’s Surface Transportation Act (FAST Act) Gramm-Leach-Blilely Act Investment Advisers Act of 1940 Privacy Notice Rule

SEC Risk Alert Identifies Common Adviser Custody Rule Deficiencies

On March 14, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission released a National Exam Program Risk Alert (Risk Alert). The Risk Alert discussed common deficiencies in respect of...more

3/20/2013 - Custody Rule Investment Advisers Act of 1940 Risk Alert SEC

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