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We issued a step-by-step guide entitled An Analysis of the SEC’s Pay Versus Performance Rules on December 14, 2022. We prepared that guide to assist our clients as they prepare to...
Late last year, Securities and Exchange Commission (SEC) Chair Gary Gensler warned private fund managers that they should be prepared for increased regulatory scrutiny. Shortly...
On Sept. 15, 2022, the U.S. Securities and Exchange Commission ("SEC") settled enforcement actions against four investment advisers for violating Rule 206(4)-5 under the Investment Advisers Act...
Summary - Two pending proposals could significantly affect how mutual and other funds approach their ESG investments in municipal bonds. If adopted by the Securities and...
In February 2022, the Securities and Exchange Commission (SEC) charged BlockFi Lending LLC (BlockFi), a wholly-owned subsidiary of BlockFi, Inc., with violating Section 7 of the Investment...