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SEC Compliance Consultants, Inc. (SEC³)

Top Compliance Program Mistakes (and How to Avoid Them) (Part 2 of 2)

SEC Compliance Consultants, Inc. (SEC³) on

As discussed in our prior article, it's important to have a well-built foundation for your compliance program. But creating the program is just the start of the journey. Compliance is a journey requiring adaptation,...more

Seward & Kissel LLP

Memo to Clients 2023 - Annual Reminders

Seward & Kissel LLP on

This Memorandum is intended to remind you of certain U.S. annual requirements that may be applicable to your business and is divided into five sections. All investment advisers (whether or not registered with the Securities...more

Akerman LLP

SEC Intensifies Focus on ESG Disclosures and Policies, Practices, and Procedures

Akerman LLP on

On March 3, 2021, the Securities and Exchange Commission’s (the SEC) Division of Examinations (the Division) announced its Examination Priorities for 2021, which included an enhanced focus on climate-related risks. ...more

The Volkov Law Group

SEC Risk Alert on ESG Investing

The Volkov Law Group on

I have written extensively about the new and hot business trend – environmental, social and governance programs (“ESG”).  The luster surrounding ESG has been a significant business trend and priority. Like any new trend, the...more

Lowenstein Sandler LLP

Recent Developments in FINRA’s Award of Credit for Extraordinary Cooperation Offers Guidance to Member Firms

Lowenstein Sandler LLP on

In 2020, the Financial Industry Regulatory Authority Inc. (FINRA) settled alleged rule violations with various large investment firms, including Merrill Lynch, Citigroup Global Markets Inc. (CGMI), Transamerica Financial...more

Rumberger | Kirk

Minimizing Liability Under the SEC’s Reg-BI

Rumberger | Kirk on

Litigation Risks Posed by the SEC’s Regulation Best Interest - Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s...more

Troutman Pepper Locke

An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule

Troutman Pepper Locke on

Presented by Pepper Hamilton and Financial Executives Alliance, Pepper Hamilton partners John P. Falco and John M. Ford discussed "An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule" on a recent...more

Kramer Levin Naftalis & Frankel LLP

SEC Eases Path for Exchange-Traded Fund (ETF) Launches (UPDATED)

Kramer Levin Naftalis & Frankel LLP on

Until now, investment advisers seeking to launch ETFs had to navigate a costly and time-consuming approval process. The long-awaited change should be a boon to investors and managers alike, but it will also mean adapting to...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #11

Faegre Drinker Biddle & Reath LLP on

Regulation Best Interest: An Overview of the Requirements - The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the...more

Akin Gump Strauss Hauer & Feld LLP

SEC Applies Fiduciary Duties Analysis to Voting Obligations

Akin Gump Strauss Hauer & Feld LLP on

On August 21, 2019, the Securities and Exchange Commission (SEC) voted 3 to 2 to adopt new interpretive guidance (the “Voting Interpretation”) applicable to investment advisers regarding their proxy voting responsibilities as...more

Vedder Price

SEC Proposes New Rule to Permit Certain ETFs to Operate without an Exemptive Order

Vedder Price on

I. Executive Summary - Overview - The Securities and Exchange Commission (the “Commission”) proposed Rule 6c-11 (the “Proposed Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”),1 if adopted,...more

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