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Seward & Kissel LLP

SEC Settles Charges with Adviser for Failing to Disclose Conflicts of Interest

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Who may be interested: Investment Advisers; Registered Investment Companies; Boards of Directors - Quick Take: The SEC recently settled charges with an investment adviser relating to the adviser’s failure to disclose...more

K&L Gates LLP

Japan's International Financial City Initiative Continues in Full Force, Aiming to Attract Foreign Managers with Licensing...

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In November of 2021, Japan adopted two licensing exemptions aimed at assisting foreign asset managers who intend to open offices in Japan. This is another important step forward for Japan’s International Financial City...more

Carlton Fields

SEC Probes Share Class Recommendations

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In July, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced an initiative to identify instances where registered investment advisers may be improperly influenced by...more

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