Kilpatrick Townsend’s Kate McCurry and Thomas Cain recently attended the Institutional Limited Partners Association’s Legal Conference. The conference provided an opportunity to discuss trending legal topics in the private...more
The staff of the SEC Division of Investment Management (the “Staff”) recently issued an Accounting and Disclosure Information statement summarizing its views regarding certain matters related to the way that mutual funds...more
As we prepare for a new year of regulatory initiates and actions, we believe it is important to take inventory of the most significant regulatory events from the past year. True to its word, the SEC focused on reducing...more
1/3/2019
/ Broker-Dealer ,
Cryptocurrency ,
Cybersecurity ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Form ADV ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investors ,
Liquidity ,
OCIE ,
Opportunity Zones ,
Proposed Regulation ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act