Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more
4/15/2024
/ Asset Management ,
Compliance ,
Data Preservation ,
Electronic Communications ,
Email ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
Policies and Procedures ,
Recordkeeping Requirements ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Text Messages ,
Workplace Communication
It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18 new rules or rule amendments proposed, the US Securities and Exchange...more
1/22/2024
/ Asset Management ,
Beneficial Owner ,
Capital Markets ,
Compliance ,
Digital Assets ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Management ,
Liquidity ,
Money Market Funds ,
Private Funds ,
Regulatory Agenda ,
Regulatory Oversight ,
Regulatory Standards ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Swing Pricing ,
Whistleblowers
On 16 October 2023, the Division of Examinations (Division) of the US Securities and Exchange Commission (SEC) released its examination priorities for the 2024 fiscal year (the Report). The Division released this Report...more
11/3/2023
/ Anti-Money Laundering ,
Asset Management ,
Broker-Dealer ,
Capital Markets ,
Compliance ,
Corporate Counsel ,
Cryptoassets ,
Cybersecurity ,
Duty of Care ,
Enforcement Actions ,
ETFs ,
FinTech ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
Popular ,
Securities and Exchange Commission (SEC)