FINRA Annual Conference to Address Compliance Concerns

FINRA will hold its annual conference May 20-22, 2013 in Washington, D.C.…

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Investment Adviser Custody Rule Causing Headaches for Advisers

The SEC is warning advisers that it is increasingly finding violations of…

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SEC “Sweeps” to Target Distribution Fees and Alternative Funds

Less than one month after announcing its enforcement priorities, the SEC is…

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Mary Jo White Commits to “Unrelenting Enforcement”

Mary Jo White’s roots as a federal prosecutor were evident in her…

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SEC Actions Confirm Uptick in Private Equity Enforcement Activity

Don’t tell me I didn’t tell you so!  Just one week after…

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It’s Back! The SEC Seeking Data on Potential Fiduciary Rule

On March 1, the SEC issued a long-awaited request for data from…

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Adviser Compliance for 2013, Part V: Tying up Loose Ends

Over the past several weeks, we have been outlining a compliance “to…

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New Study Backs Up SEC’s Focus on Valuation

The SEC has targeted valuation as a serious compliance concern for private…

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Adviser Compliance for 2013, Part IV: Review Your Code of Ethics

Advisers must be sure that their annual compliance review includes the firm’s…

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The SEC Speaks at the New York City Bar March 8

Wayne Carlin, litigation partner at Wachtell, Lipton, Rosen & Katz, chaired a…

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