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Recent SEC Enforcement Actions Highlight SEC Focus on Adviser Fiduciary Duty When Recommending and Reviewing Account Types | Dechert LLP

The Securities and Exchange Commission recently brought two enforcement actions that highlight the SEC’s focus on the investment adviser fiduciary duties, particularly as applied to.

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Best Interest Standard of Care for Advisors #95: The Four Effective Dates for PTE 2020-02 | Faegre Drinker Biddle & Reath LLP

The DOL’s expanded interpretation of fiduciary advice is described in the preamble to Prohibited Transaction Exemption (PTE) 2020-02. When conflicted fiduciary advice is given to.

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United States

Not only did US private equity (PE) fundraising rebound in 2021, it was in many ways the most successful year for PE fundraising since the financial…

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A Transformation In SEC Regulation Of Private Fund Managers - Finance and Banking

In recent weeks, the U.S. Securities and Exchange Commission (the "SEC") has kicked off a wholesale transformation in the regulation of the private funds industry.

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SEC enforcement action highlights evolution in SEC s stance on hedge clauses in advisory agreements | Eversheds Sutherland (US) LLP

In the second full week of the new year, the US Securities and Exchange Commission (SEC) settled an administrative action against Comprehensive Capital Management (CCM), a registered.

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