The words “Supreme Court” tend to stir up current social issues and intermingled constitutional law issues. Public news attention tends to focus on the “headlining grabbing” issues the Court considers, while less glamorous...more
The Securities and Exchange Commission adopted rules on December 14, 2022 that will require...more
Our Investment Management Alert from earlier this month described to private fund advisers the importance of the Security Exchange Commission’s (SEC’s) Division of Examinations recent Risk Alert on cross trades and principal...more
On July 21, 2021, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert on cross trades and principal transactions.1 The Risk Alert’s guidance and warnings were based on over 20 examinations of...more