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FINRA Amendments to the Anti-Spinning Rules

FINRA Amendments to Rules 5130 and 5131 - The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently effected changes to its rules regarding the purchase, sale, allocation, and distribution of initial equity...more

The SEC Grants Temporary Relief Due to the Coronavirus COVID 19 Pandemic

The Securities and Exchange Commission (the “Commission”) on Friday, March 13, 2020, granted temporary relief under the Investment Advisers Act of 1940 relative to certain filing and delivery deadlines and other requirements...more

SEC Proposes to Update “Accredited Investor” Definition

On December 18, 2019, the SEC proposed to amend its definition of “Accredited Investor” with hopes to expand access to private capital markets to a wider range of investors. The proposed changes create two new categories of...more

[Webinar] Investment Insights -- Is it Time to Renegotiate Your Vendor Agreements?- June 20th, 10:00am CT

This presentation will cover what you need to know to avoid unnecessary legal risk and imbalanced risk allocation. A concise look at the latest trends, key provisions, and common tricks in commercial contracts, as well as a...more

[Webinar] Investment Insights - Cybersecurity Responsibilities for Investment Advisers - May 17th, 10:00am CT

This presentation will cover an overview of data protection policies and procedures for Investment Advisers....more

Fifth Circuit Decision Results in Surprising Win for Providers of Financial Services

Just as we are tuning in for March Madness, it seems that the Department of Labor (Department) has been dealt the latest upset in the fight to implement its final rule, which regulates certain activities of financial service...more

Investment Advisers Regulatory Checklist

This coming year will have a revamped ADV with some new requirements. A significant new consideration is the challenges that new cryptocurrencies and other digital assets present for investment advisers and their compliance...more

Investment Adviser Compliance with SEC’s Amended Form ADV

Beginning October 1, 2017, investment advisers filing Form ADV with the Securities and Exchange Commission (the “SEC”) must file using the amended form adopted by the SEC on August 25, 2016 (the “Amended Form ADV”). According...more

Bitcoin and Blockchain: Certain U.S. Regulatory Considerations for Investment Managers

Bitcoin is the first blockchain or distributed ledger technology (“DLT”) to successfully solve a problem succinctly described by Marc Andreessen: “Bitcoin gives us, for the first time, a way for one Internet user to transfer...more

With the Tip of a Hat, a Fund Manager Can Be an ERISA Fiduciary

It’s official. The Department of Labor’s final conflict of interest regulation became applicable on June 9, 2017. Despite the consternation leading up to the issuance of this rule and the expectations of many that the rule...more

Applicability Date for DOL Conflict of Interest Rule is Looming

As you may be aware, the Department of Labor’s (DOL’s) Conflict of Interest rule expands the scope of the definition of “fiduciary” under ERISA and the Code to cover more classes of financial advisers. While the final rule...more

Whistleblower Rule Compliance: SEC’s OCIE Issues Risk Alert in Wake of Illustrative Enforcement Actions

On October 24, staff of the Securities Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert titled “Examining Whistleblower Rule Compliance” (the “Risk Alert”). The Risk...more

Co-Investments in Private Equity: The SEC’s Focus on Disclosure

The trend of utilizing co-investments in private equity continues to grow. A Special Report by Preqin found that 69% of the 320 sponsors surveyed offered co-investment rights to their limited partners, with another 18%...more

Recent Amendment of SEC’S “Qualified Client” Definition

The SEC recently adopted an amendment increasing the net worth threshold set forth in the definition of "qualified client" under the Advisers Act. For an investment adviser that is registered with the SEC, or one that is...more

“Call to Action” May Create Fiduciary Liability under ERISA

Traditional investment advisers, as well as broker-dealers, insurance brokers, banks, and employers, are abuzz with questions and concerns relating to the final regulation issued by the Department of Labor (DOL) on April 8,...more

A Brave New World for Investment Advisors Following Issuance of Final Rule

On April 8, 2016, the Department of Labor (DOL) released the much anticipated final regulation to broaden the scope of fiduciary status under the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal...more

Investment Insights - Top 10 Takeaways (November 2015)

Cybersecurity is more than a compliance issue, it is a business issue for all businesses, including investment advisers. What do your policies and procedures say and are you actively following them? How are your service...more

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