On April 7, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued two risk alerts providing guidance to broker-dealers and investment advisers regarding forthcoming...more
While securities regulators on both sides of the border have provided some relief to dealers and advisors, the Canadian Securities Administrators (“CSA”) and the Securities and Exchange Commission (“SEC”) have not extended...more
This past week, the Securities and Exchange Commission’s Division of Corporate Finance issued guidance regarding disclosure and other securities law obligations that companies should consider with respect to the COVID-19...more