Thomas Lauerman

Thomas Lauerman

Carlton Fields Jorden Burt

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Guidance for Investment Advisers Using Proxy Advisory Firms

A recent SEC Staff Legal Bulletin provides important guidance for investment advisers that use proxy advisory firms in voting clients’ securities. Nevertheless, the Bulletin (dated June 30, 2014) leaves much unresolved....more

10/1/2014 - Compliance Investment Adviser Proxy Advisors Proxy Voting Guidelines SEC

Expect Focus - Catching The Next Wave, Regulatory and Litigation Developments - Volume II, Spring 2014

In This Issue: - IN THE SPOTLIGHT ..Private Equity: The Next Wave of SEC Enforcement Actions? - LIFE INSURANCE ..How to Fight a STOLI Scheme: Court Rulings Offer Clues ..STOA Schemes Face...more

7/22/2014 - Compliance Enforcement Enforcement Actions PBGC Private Equity Property Insurance SEC Title Insurance

New FINRA Supervision Rules May Require Immediate Action

The SEC approved FINRA’s major reworking of its rules governing broker-dealers firms’ supervision of their offices and associated persons. Firms must comply with the new rules by December 1, 2014. This may require some firms...more

7/21/2014 - Amended Regulation Broker-Dealer FINRA SEC Supervision

Mutual Funds Get Congressional Help Against FSOC

Some members of Congress have come to the aid of the investment management industry in its battle to avoid determinations by the Financial Stability Oversight Council (FSOC) that any mutual funds or investment advisers...more

7/16/2014 - Dodd-Frank FSOC investmen Legislative Committees Mutual Funds Proposed Legislation

More Due Diligence For Investments In Private Funds

The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a January 28, 2014 Risk Alert summarizing current practices and trends in how investment advisers conduct due diligence on private funds they recommend...more

4/29/2014 - Compliance Due Diligence OCIE Private Funds SEC

Rule 506: Too Cumbersome For Private Offerings?

The SEC has been pursuing several initiatives that, taken together, would significantly increase the difficulties and uncertainties presented by the securities registration exemption found in Rule 506 of Regulation D....more

4/28/2014 - FINRA OCIE Regulation D Rule 506 Offerings SEC

Expect Focus - Volume 1, Winter 2014

In This Issue: - IN THE SPOTLIGHT ..Sixth Circuit Revisits Controversial ERISA Decision - LIFE INSURANCE ..Summary Judgment Victory for Life Insurer in Annuity Class Action ..Favorable Secondary Life Market...more

3/31/2014

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