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Fiduciary Duty › Registration Requirement

Morgan Lewis

NY Fashion Workers Act Would Impose Significant Compliance Requirements on Fashion Model and Creative Agencies - Retail Did You...

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Dear Retail Clients and Friends, This edition of Morgan Lewis Retail Did You Know? examines the pending New York Fashion Workers Act, which, if passed by the state legislature, would create new compliance requirements,...more

Orrick, Herrington & Sutcliffe LLP

SEC Proposes New Guidance on Role of Municipal Advisers in Private Placements

Orrick, Herrington & Sutcliffe LLP on

In response to the proliferation of direct placements of municipal securities with financial institutions over the past decade, the Securities and Exchange Commission (SEC) has proposed a regulatory change to clarify the role...more

Eversheds Sutherland (US) LLP

The far reach of state law – Nevada proposes fiduciary duty regulations for broker-dealers and investment advisers

Eversheds Sutherland (US) LLP on

Under Nevada law, financial planners owe a fiduciary duty to their clients. In accordance with this duty, a financial planner must disclose, at the time advice is given, any gain the financial planner may receive if the...more

Troutman Pepper

Treasury Report Addresses Regulatory Approaches Affecting Investment Companies and Their Advisers

Troutman Pepper on

As required by President Trump’s Executive Order 13772, the U.S. Department of the Treasury issued a report, “A Financial System That Creates Economic Opportunities, Asset Management and Insurance,” addressing the regulatory...more

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