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Social Media › Enforcement Actions › Investment Advisers Act of 1940

Follow this channel for insights at the intersection of social media and the law, covering a wide array of issues from employer liability to privacy, from advertising rules to IP matters, and... more +
Follow this channel for insights at the intersection of social media and the law, covering a wide array of issues from employer liability to privacy, from advertising rules to IP matters, and more. Like this! less -
Dechert LLP

Recent New York Legislation Highlights Tension Between Employee Privacy and Regulatory Compliance for Broker-Dealers and Advisers

Dechert LLP on

As of today, March 12, 2024, a New York state statute, in certain circumstances, restricts employers “from requesting or requiring that an employee or applicant disclose any . . . means for accessing a personal account...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

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