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Investment Adviser › Incentive Compensation

Proskauer Rose LLP

Effect of the New NYSE and Nasdaq Clawback Listing Standards on Registered Funds and BDCs

Proskauer Rose LLP on

Beginning on December 1, 2023, companies listed on the New York Stock Exchange (“NYSE”) and the Nasdaq Stock Market (“Nasdaq”) will need to adopt and comply with policies providing for the recovery, or “clawback”, of...more

Dorsey & Whitney LLP

The SEC Proposes Rules to Address Investment Advisor and Broker-Dealer Incentive Based Compensation

Dorsey & Whitney LLP on

The SEC recently released a proposed rule pursuant to Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) with respect to the implementation of incentive-based compensation arrangements...more

Mintz - Employment Viewpoints

The Department of Labor’s 2016 Final Fiduciary and Conflict of Interest Regulations: The Principal Transactions Exemption

Mintz - Employment Viewpoints on

This post continues our examination of the Department of Labor’s suite of final fiduciary and conflict of interest regulations. Our prior posts discussed the newly expanded definition of “investment advice fiduciary” and the...more

Proskauer - The Capital Commitment

Application of the Joint Proposed Incentive Compensation Rule to Investment Advisers

Proskauer - The Capital Commitment on

On May 16, 2016, six federal agencies issued a joint release inviting public comment on a proposed rule to prohibit or condition certain incentive-based compensation arrangements. This proposed rule was mandated by section...more

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