On April 23, the U.S. Department of Labor (DOL) finalized its latest effort to change the rules for determining who a fiduciary is under the Employee Retirement Income Security Act of 1974, as amended (ERISA). Called the...more
5/13/2024
/ Department of Labor (DOL) ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Five-Part Test ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investors ,
Retirement Plan ,
Securities and Exchange Commission (SEC)
Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below.
Summaries of recent legal developments with respect to:
•SEC’s 2023 Examination Priorities-...more
4/7/2023
/ CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Custody Rule ,
Cybersecurity ,
Electronic Communications ,
Employee Retirement Income Security Act (ERISA) ,
Fund Managers ,
Investment Adviser ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Proxy Voting ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Virtual Currency
Summaries of recent legislative and regulatory developments with respect to:
•SEC’s 2022 Examination Priorities • Proposed Amendments to Form PF Requirements-
•Proposed New Rules Applicable to Private Fund Advisers and...more
5/5/2022
/ Anti-Money Laundering ,
Beneficial Owner ,
Broker-Dealer ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Cryptocurrency ,
Cybersecurity ,
Department of Labor (DOL) ,
Digital Assets ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Fiduciary Rule ,
Foreign Investment ,
General Data Protection Regulation (GDPR) ,
Investment Adviser ,
Investment Funds ,
NFA ,
Proxy Voting ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Threshold Requirements
Summaries of recent legislative and regulatory developments with respect to:
•The SEC’s Examination Priorities for 2021-
•The SEC’s Focus on Digital Asset Securities-
•The SEC’s New Marketing Rule... ...more
4/1/2021
/ Accredited Investors ,
Anti-Money Laundering ,
BEA ,
Broker-Dealer ,
CARES Act ,
CFIUS ,
Chief Compliance Officers ,
Client Funds ,
Common Reporting Standard (CRS) ,
Compliance ,
Coronavirus/COVID-19 ,
Department of Justice (DOJ) ,
Digital Assets ,
Disclosure ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
EU ,
Financial Fraud ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Foreign Investment ,
Form CRS ,
General Data Protection Regulation (GDPR) ,
IARD ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Net Operating Losses ,
Office of Foreign Assets Control (OFAC) ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Safe Harbors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Tax Cuts and Jobs Act ,
U.S. Treasury ,
Unauthorized Transactions