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Alston & Bird

SEC Orders Investment Adviser to Pay for Inadequate Disclosure of Fees from Clearing Broker

Alston & Bird on

Our Investment Funds Group examines why the Securities and Exchange Commission penalized a registered investment adviser for inadequate disclosure of fees it received....more

Lowenstein Sandler LLP

SEC Adopts Amendments to Form PF for Registered Investment Advisers to Private Funds

Lowenstein Sandler LLP on

On May 3, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Form PF, the confidential form by which certain SEC-registered investment advisers report information pertaining to the private funds...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

DOL published Final Fiduciary Rule

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

The Department of Labor (DOL) issued their final new Fiduciary Rule on Wednesday, April 6th that will have far reaching changes to the retirement plan industry. Aside from some paperwork, disclosure, and effective date...more

Dechert LLP

Effect of Recent New York City Amendments May Limit Brokers and Advisers in Conducting Credit and Background Checks on Potential...

Dechert LLP on

The New York City Council recently passed two amendments to the New York City Human Rights Law that are likely to substantially affect the manner in which firms in New York City may evaluate the qualifications and background...more

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