News & Analysis as of

Investment Adviser Competition

Holland & Knight LLP

Summary and Early Analysis of New SEC Private Fund Rules

Holland & Knight LLP on

The U.S. Securities and Exchange Commission (SEC) on Aug. 23, 2023, adopted the long-awaited private fund rules (Private Fund Rules) under the Investment Advisers Act of 1940 (Advisers Act) as part of SEC Release No. IA-6383...more

Jenner & Block

Client Alert: Antitrust and ESG—How to Stay Ahead of the Game

Jenner & Block on

On May 15, 2023, 22 state attorneys general sent a letter to several insurance companies warning that the companies’ Environmental, Social, and Governance (ESG) policies may violate the antitrust laws. Just six weeks earlier,...more

DarrowEverett LLP

Meme Stock Mania Sets Stage for Proposed Game-Changing SEC Rule

DarrowEverett LLP on

On Wednesday, December 14, the U.S. Securities and Exchange Commission (the “SEC”) affirmatively voted to advance some major changes to U.S. stock-market rules, perhaps the biggest changes to such rules in nearly 20 years....more

Morgan Lewis - All Things FinReg

FINRA Files Rule Change to Extend Implementation Date of Rule 4210 TBA Changes

FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. The...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Focus on what the competition isn’t

When I started my law practice, I started to look at what the competition was doing and I decided to do things differently. Other ERISA attorneys charge by the hour, they charge for every phone call, and I just didn’t want to...more

Proskauer Rose LLP

Proskauer’s Second Annual Survey on Trends in Private Credit Markets

Proskauer Rose LLP on

We are delighted to share with you the results from our second annual Trends in Private Credit survey. This year’s survey was conducted via web from January 9th to February 9th 2018. In this report, we will share...more

A&O Shearman

UK Authority Considers Competition Issues Arising From the Provision of Investment Consultancy Services and Fiduciary Management...

A&O Shearman on

The U.K. Competition and Markets Authority has published the third in a series of working papers on specific aspects of its market investigation into the supply and acquisition of investment consultancy services and fiduciary...more

Proskauer Rose LLP

Regulation Round Up - November 2017

Proskauer Rose LLP on

3 November - The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives. Among other things, the alert...more

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