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Enforcement Compliance Investment Management

Alston & Bird

CFTC Commissioner Warns That CCOs May Face Personal Liability

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Our Investment Funds Group reviews the implications of a Commodity Futures Trading Commission (CFTC) policy targeting chief compliance officers (CCOs) as individuals if their companies’ compliance programs fail....more

Davis Wright Tremaine LLP

AI for IAs: How Artificial Intelligence Will Impact Investment Advisers

The use of artificial intelligence and machine learning technology solutions ("AI") is becoming increasingly common in all industries, including the registered investment adviser ("RIA") space. A recent survey by AI platform...more

Hinch Newman LLP

FTC Defense Attorney on Ecommerce Investment Management Provider Legal Regulatory Considerations

Hinch Newman LLP on

It is no secret amongst digital advertisers and FTC practice defense counsel that the Federal Trade Commission and state attorneys general continue to aggressively investigate and prosecute those that advertise, market,...more

Katten Muchin Rosenman LLP

SEC Announces Year-End Enforcement Results, Highlighting Record-Breaking Penalties - Capital Markets Compass | Issue 4

On November 15, the Securities and Exchange Commission (the SEC) released its summary of enforcement actions brought during the 2022 fiscal year, announcing that in 2022 the SEC filed 760 enforcement actions and recovered an...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update - February 2015

In This Issue: - SEC Proposes Rule Requiring Hedging Disclosure - SEC Reports the Result of its Cybersecurity Sweep of Broker-Dealers and Investment Advisers - House Passes Bill to Ease Volcker Rule and Other...more

Dorsey & Whitney LLP

SEC Files Another Action Centered On IA Nikolai Battoo

Dorsey & Whitney LLP on

Alternative investment manager Nikolai Battoo appeared to be the all-American success story. He began as a Florida cook and rose to manage over a billion dollars in assets. He attracted investments from investors across the...more

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