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SEC Examinations and Enforcement Update for Registered Investment Advisers: Transparency for SEC Exams, Marketing Rule Sweep, and More Custody Scrutiny | Morrison & Foerster LLP

A series of recent actions by the Securities and Exchange Commission (SEC) and its staff should prompt registered investment advisers (RIAs) to reassess their risk tolerance for some. ....

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Marketing Rule Implementation – Are You Ready for November 4th? | Morrison & Foerster LLP

The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment adviser to finalize its implementation process. ....

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Marketing Rule Implementation – Are You Ready For November 4th? - Securities

The Marketing Rule changes the regulatory approach to investment adviser marketing practices in several key ways. ....

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Lead Article: SEC's Novel Insider Trading Theory Casts Long Shadow | Quinn Emanuel Urquhart & Sullivan, LLP

The U.S. Securities and Exchange Commission (“SEC” or “Commission”) is advancing a novel insider trading theory known as “shadow trading.” See Mihir N. Mehta, David M. Reeb, and Wanli. ....

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SEC Proposes ESG Reporting and Disclosure Requirements for Private Fund Advisers | Proskauer - The Capital Commitment

On May 25, the Securities and Exchange Commission (“SEC”) issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) for advisers to private funds that consider. ....

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