Investment Management Update August 2023
In this issue, we cover regulatory developments from the second quarter of 2023 impacting the investment management sector, including the following:…
Source: lexology.com
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Investment Management Update - August 2023 | Skadden, Arps, Slate, Meagher & Flom LLP
Closed-End Fund Activism Update - Activist investors continue to take large positions in closed-end funds and engage in disruptive activity that may be harmful to...
Source: jdsupra.com
SEC Brings First Liquidity Rule Enforcement Action Against Investment Adviser And Fund Board - Shareholders
On May 5, 2023, the Securities and Exchange Commission ("SEC") filed charges against Pinnacle Advisors LLC ("Pinnacle Advisers"), an investment adviser, for allegedly aiding and abetting violations of Rule 22e-4...
Joseph Masella Robert Cuculich Lawton Charlie Williamson Mark Wadach Division Of Investment Management Investment Company
Source: mondaq.com
SEC Brings First Liquidity Rule Enforcement Action Against Investment Adviser and Fund Board | Proskauer Rose LLP
On May 5, 2023, the Securities and Exchange Commission ("SEC") filed charges against Pinnacle Advisors LLC ("Pinnacle Advisers"), an investment adviser, for allegedly aiding and...
Lawton Charlie Williamson Mark Wadach Robert Cuculich Joseph Masella Division Of Investment Management Pinnacle Advisors
Source: jdsupra.com
This Week In Securities Litigation (Week of May 8, 2023)
Last week the Commission announced its largest whistleblower award in the history of the program. More rules were also announced, this time regarding…
Hong Kong United States Cedrickd Griffin Carlos Eduardo Reyes Alvarez William Hirschy Joseph Masella
Source: lexology.com