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Kramer Levin Naftalis & Frankel LLP

Poor Compliance With Cash Solicitation Rule Prompts OCIE Risk Alert

Faced with various compliance issues related to the ‘cash solicitation rule’, the Staff issued a risk alert to inform market participants and help advisers update their policies accordingly....more

Foley & Lardner LLP

A Response to the CFPB’S Recent Compliance Bulletin on MSAs

Foley & Lardner LLP on

On October 8, 2015, the Consumer Financial Protection Bureau (CFPB or Bureau) issued a Compliance Bulletin on RESPA Compliance and Marketing Services Agreements (“MSAs”)(“Compliance Bulletin”).  The Compliance Bulletin’s...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- December 2014

Morrison & Foerster LLP on

In This Issue: - Regulation ..SEC Chair’s Agenda Provides Glimpse of New Rules to Come ..The Results Are In: Investors Favor Additional Regulatory Protection ..SEC Declines to Approve Non-Transparent ETFs ...more

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