REGULATORY UPDATES -
SEC -
Leadership Changes On April 14, 2021, the U.S. Senate voted to approve President Biden’s nomination of Gary Gensler as Chairman of the Securities and Exchange Commission (the “SEC”) through June...more
4/16/2021
/ CFTC ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
No-Action Relief ,
OCIE ,
Popular ,
Retail Investors ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
Investors Continue to Press Regulators for Disclosure of Environmental, Social, and Governance (“ESG”) Risks...more
7/19/2019
/ Broker-Dealer ,
Cybersecurity ,
Department of Labor (DOL) ,
Division of Investment Management ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Investors ,
Mutual Funds ,
OCIE ,
Popular ,
Regulation S-P ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
U.S. Securities and Exchange Commission (“SEC”) Proposes Rule Change to Address Auditor Independence -
On May 3, 2018, the SEC proposed to amend its auditor independence rule, Rule 2-01 of...more
7/30/2018
/ Administrative Law Judge (ALJ) ,
Anti-Money Laundering ,
Auditor Independence ,
Auditors ,
Department of Labor (DOL) ,
Enforcement Actions ,
Fiduciary Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Amendments ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholders ,
Trump Administration
REGULATORY UPDATE -
Ten Investment Advisory Firms Subject to Steep Penalties after Violating Pay-to-Play Rules -
In January 2017, 10 investment advisory firms agreed to settle with the U.S. Securities and Exchange...more
FINRA Bar Results from Assertion of Fifth Amendment Right against Self-Incrimination in Criminal Action -
On October 5, 2016, the Financial Industry Regulatory Authority (“FINRA”) barred an indicted investment adviser,...more
1/12/2017
/ Broker-Dealer ,
Chief Compliance Officers ,
Department of Labor (DOL) ,
Enforcement Actions ,
ETFs ,
Fiduciary Rule ,
Fifth Amendment ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Company Act of 1940 ,
Liquidity Risk Management Rule ,
Market Abuse ,
OCC ,
OCIE ,
Popular ,
Securities and Exchange Commission (SEC) ,
Whistleblowers