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Seward & Kissel LLP

SEC Settles Charges with Adviser for Failing to Disclose Conflicts of Interest

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Who may be interested: Investment Advisers; Registered Investment Companies; Boards of Directors - Quick Take: The SEC recently settled charges with an investment adviser relating to the adviser’s failure to disclose...more

Seward & Kissel LLP

SEC Division of Examinations Releases its 2024 Examination Priorities

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Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; and Investment Advisers Quick Take: The staff of the SEC Division of Examinations (Staff) recently released its 2024...more

Seward & Kissel LLP

Investment Adviser Charged for Failing to Disclose Revenue Sharing Arrangements and Related Conflicts of Interest

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Who may be interested: Investment advisers. Quick Take: The SEC announced settled charges against an investment adviser for the adviser’s breach of its fiduciary duty to its clients by failing to fully and fairly...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #21

Faegre Drinker Biddle & Reath LLP on

Regulation Best Interest: Rollover Recommendations and Mitigation of Advisor Incentives (Rollovers Part 7) The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Rule, RIA Interpretation and Solely...more

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