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Disclosure Requirements Advisors Act

Vinson & Elkins LLP

Securities and Exchange Commission Proposes Amendments to Investment Advisers Act Regarding ESG Disclosures

Vinson & Elkins LLP on

On May 25, 2022, the Securities and Exchange Commission (the “SEC”) introduced a proposal to amend certain rules and forms under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”) to require investment advisers and...more

Faegre Drinker Biddle & Reath LLP

Two Stones, One Bird: SEC’s Double Whammy Against Advisory Firm

In a pair of settlements announced on July 28, 2020, the SEC charged VALIC Financial Advisors (the “Firm”) with two separate sets of violations that allowed the Firm to obtain millions of dollars in fees without providing...more

Vedder Price

Investment Services Regulatory Update - June 2019

Vedder Price on

Investment Services Regulatory Update – New Rules, Proposed Rules, Guidance and Alerts – New Rules – SEC Adopts Rules and Interpretations Concerning the Standard of Conduct for Broker-Dealers and Investment Advisers - ...more

Bracewell LLP

OCIE Releases Risk Alert Regarding the Fees and Expenses that Investment Advisers Charge Clients

Bracewell LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released a Risk Alert that highlights the most common compliance deficiencies relating to fees and expenses...more

Proskauer Rose LLP

SEC Staff Issues Risk Alert on the Six Most Frequent Fee and Expense Compliance Issues

Proskauer Rose LLP on

On April 12, 2018, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a risk alert listing the most common compliance issues concerning fees and expenses charged by SEC-registered investment advisers....more

Dorsey & Whitney LLP

Countdown to New Form ADV – Are You Ready?

Dorsey & Whitney LLP on

October 1st is less than a month away. That’s the effective date for the new Form ADV (Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers). ...more

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