News & Analysis as of September 18, 2024

Social Media › Investment Management

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Follow this channel for insights at the intersection of social media and the law, covering a wide array of issues from employer liability to privacy, from advertising rules to IP matters, and... more +

Social media lands clients

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on 3/21/2023

When I was at that semi-prestigious law firm on Long Island, I became convinced that I could draw business from around the country by creating content via social media that would allow me to develop relationships with...more

Estate Planning: What Happens When Your Digital Assets Outlive You?

Morgan Lewis on 5/13/2022

During the estate planning process, it is important to ensure that your fiduciaries (the personal representatives of the estate, trustees, and agents named in the durable power of attorney) have the information necessary to...more

European Securities and Markets Authority Issues Statement on Investment Recommendations on Social Media

A&O Shearman on 11/10/2021

The European Securities and Markets Authority has issued a statement on the requirements under the EU Market Abuse Regulation for firms and individuals that make investment recommendations on social media. ESMA is concerned...more

Gamification of Securities Trading: Big Risk or Just Evolution?

Burr & Forman on 10/15/2021

In remarks this week at SEC Speaks, SEC Investor Advocate Rick Fleming mused that the “gamification” of securities trading might pose an undue risk that exploits a potential loophole in Regulation Best Interest (“Reg. BI”)....more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 11/2/2015

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Financial Services Quarterly Report - Third Quarter 2015: Developing and Maintaining a Modern U.S. Compliance Program

Dechert LLP on 10/13/2015

When the SEC adopted Rules 38a-1 under the Investment Company Act of 1940 (Investment Company Act) and 206(4)-7 under the Investment Advisers Act of 1940 (Advisers Act) in 2003 – which required registered funds and registered...more

Investment Management Update

Ballard Spahr LLP on 12/18/2014

In This Issue: - SEC Announces First-of-Its-Kind Whistleblower Award To an Audit and Compliance Professional - SEC Issues No-Action Letter To Allow for Amendment of a Sub-Advisory Agreement without Shareholder...more

A Compilation of Enforcement and Non-Enforcement Actions - May 31, 2013

Foley & Lardner LLP on 5/31/2013

Board Oversight of Distribution and Financial Intermediaries - One of the SEC’s stated focuses is on payments for “distribution in guise.” Mutual funds are only permitted to pay for distribution of their shares if...more

Investment Management Legal + Regulatory Update -- May 2013

Morrison & Foerster LLP on 5/17/2013

In This Issue: Regulatory Updates - SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in...more

SEC Division of Investment Management Issues Guidance on Filing Requirements for Social Media

Dechert LLP on 4/1/2013

The U.S. SEC’s Division of Investment Management recently released a Guidance Update (the “Update”) concerning the application of SEC filing requirements for certain fund-related communications on “real-time” interactive...more

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Social Media › Investment Management

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