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Investment Management › Unfair or Deceptive Trade Practices

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

A&O Shearman

Third Circuit Allows Putative Class Action To Proceed Against Investment Services Provider, Finding Breach Of Contract Claim Not...

A&O Shearman on

On September 4, 2018, the United States Court of Appeals for the Third Circuit affirmed the partial denial of a motion to dismiss a putative class action against investment services provider Vanguard Group (the “Company”). ...more

Kramer Levin Naftalis & Frankel LLP

Funds Talk: October 2017 - SEC Issues Risk Alert Regarding Advertising Rule Compliance Based on Recent OCIE Examinations

Kramer Levin Naftalis & Frankel LLP on

On Sept. 14, 2017, the Securities and Exchange Commission (the “SEC”) issued a risk alert outlining certain compliance issues identified by the regulator’s Office of Compliance Inspections and Examinations (“OCIE”) related to...more

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