Investment Advisers

SEC Proposed Interpretive Guidance for Investment Advisers: Implications for Private Equity

By Steve Quinlivan on 04/29/2018

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SEC Proposes Regulation Best Interest for Broker-Dealers

By Steve Quinlivan on 04/18/2018

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SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

By Steve Quinlivan on 01/25/2018

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SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers

By Steve Quinlivan on 09/14/2017

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SEC Charges Chief Compliance Officer for Failure to Verify Information

By Steve Quinlivan on 08/16/2017

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OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

By Steve Quinlivan on 02/08/2017

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Trump Requires DOL to Reevaluate the Fiduciary Rule

By Steve Quinlivan on 02/03/2017

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House Passes Creating Financial Prosperity for Businesses and Investors Act

By David Jenson on 12/06/2016

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SEC Exams Looking for Whistleblower Violations

By Steve Quinlivan on 10/24/2016

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SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

By Steve Quinlivan on 09/15/2016

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