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
Top 5 SEC Enforcement Developments For May 2023 - Securities
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month...
United States Liquidityrule Firsteverliquidityruleaction Pathwayforward Digitalassets Spacs Conflictofinterest Buybackdisclosures Transparencyortoomuchinfo Robert Cuculich
Source: mondaq.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