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Conflicts of Interest › Executive Compensation › Investment Adviser

Lowenstein Sandler LLP

SEC Settlement Reflects Continued Scrutiny Regarding Conflicts and Preferential Treatment

Lowenstein Sandler LLP on

On May 14, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser (Adviser) that found the Adviser had (a) failed to adequately disclose conflicts pertaining to...more

Ballard Spahr LLP

Labor and Employment Regulations Potentially Affected by Trump Regulatory Freeze

Ballard Spahr LLP on

The Trump administration's "Regulatory Freeze Pending Review" (Freeze Memo) instructs the heads of federal executive departments and agencies to send no regulation to the Office of Federal Register (OFR) until a presidential...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Department of Labor Issues Guidance on Conflicts of Interest Rule"

Skadden, Arps, Slate, Meagher & Flom LLP on

The Department of Labor (DOL) recently issued guidance on the Conflicts of Interest Rule it released earlier this year. The guidance, issued on October 27, 2016, is in the form of answers to frequently asked questions, which...more

Goodwin

Financial Services Weekly News - July 2016 #3

Goodwin on

Regulatory Developments - SEC Proposes Amendments to Update and Simplify Disclosure Requirements as Part of Overall Disclosure Effectiveness Review - On July 13, the Securities and Exchange Commission (SEC) proposed...more

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