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SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements And Investor Communications -

Published: January 25, 2024

On December 26, 2023, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser, OEP Capital Advisors, L.P. (OEP).

Source: mondaq.com

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When Two Worlds Collide: Navigating Conflicts Between An Employee's Personal Beliefs And The Mission Or Values Of Your Business - Employee Rights/ Labour Relations

Published: January 23, 2024

Given the current state of affairs in this country and the upcoming 2024 presidential election, there is no short supply of hot button issues that may come up in conversation in the workplace.

Source: mondaq.com

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When Two Worlds Collide: Navigating Conflicts Between an Employee's Personal Beliefs and the Mission or Values of Your Business | Venable LLP

Published: January 18, 2024

Given the current state of affairs in this country and the upcoming 2024 presidential election, there is no short supply of hot button issues that may come up in conversation in the...

Source: jdsupra.com

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United States New York National Labor Relations Act Practices To Find Mission Unbeknownst To Organization A Hypothetical Organization Hypothetical Organization Find Mission Driven Action Related Off Duty Conduct Procedures Related Social Media Policy

SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements and Investor Communications | Lowenstein Sandler LLP

Published: January 12, 2024

On December 26, 2023, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser, OEP Capital Advisors, L.P. (OEP). The settlement...

Source: jdsupra.com

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SEC Division of Examinations Publishes Risk Alert Providing Observations from Broker-Dealer Examinations Related to Regulation Best Interest | Dechert LLP

Published: March 28, 2023

The Securities and Exchange Commission’s Division of Examinations (Division) issued a Risk Alert (Risk Alert) on January 30, 2023 highlighting deficiencies its Staff observed during...

Source: jdsupra.com

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