Thomas Cain

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Proposed Rule Takes Aim at Non-Compete Clauses

On January 5, 2023, the Federal Trade Commission (“FTC”) issued a proposed rule that would prohibit almost all non-compete agreements between employers and workers (e.g., employees and independent contractors)....more

1/12/2023 / Contract Terms , Employment Contract , Federal Trade Commission (FTC) , Non-Compete Agreements , Proposed Rules , Restrictive Covenants , Unfair Competition

SEC Proposes Rule for Investment Advisers Engagement of Service Providers

Last week, the Securities and Exchange Commission (the “SEC”) released a proposed rule (the “Proposed Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) that, if adopted as proposed, would require SEC...more

11/15/2022 / Comment Period , Investment Adviser , Investment Advisers Act of 1940 , Proposed Rules , Public Comment , Registered Investment Advisors , Securities and Exchange Commission (SEC)

SEC Settles First Major Enforcement Action Related to ESG Investment Disclosures

The Securities and Exchange Commission (the “SEC”) has regularly emphasized its focus on environmental, social, and governance (“ESG”)-related investing and the importance of registrants having accurate disclosures on ESG...more

5/26/2022 / Disclosure Requirements , Environmental Social & Governance (ESG) , Investment Adviser , Proposed Rules , Securities and Exchange Commission (SEC)

SEC Proposes Significant Regulatory Overhaul for Private Fund Advisers

On February 9, 2022, the Securities and Exchange Commission (the “SEC”) released proposed rules (the “Proposed Rules”) under the Investment Advisers Act of 1940 (the “Advisers Act”) that, if adopted as proposed, would...more

2/21/2022 / Books & Records , Comment Period , Investment Adviser , Private Funds , Proposed Rules , Securities and Exchange Commission (SEC)

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