Topics Adviser and Fund M&A Fair Warning to Advisers: SEC Publishes 2024 Exam Priorities EarlySEC Imposes New Burdens on Registered and Exempt Private Fund AdvisersFINRA and CFTC Staff Issue COVID-19 Advisories on Commodity-Linked ETPs and Funds Advisory Contracts and Fees SEC Enforcement Staff Touts Year of Firsts and Big DataMore Sanctions from Private Equity Fees: W.L. RossApollo Global Management Settles with the SEC Artificial Intelligence Artificial Intelligence: SEC Proposals and ConcernsArtificial Intelligence: An Introduction and General Regulatory Landscape Broker-Dealer Regulation Finders, Registration Is Required!FINRA Emphasizes Reg BI Standards for Complex Product RecommendationsMarket Turmoil Caused by “Run on the Banks” Leads to Trading Halts Clearing and Transfer Agency Sorting Out the Universal Swing Pricing ProposalTreasury Clearing Proposal: More on Multilateral NettingCentral Clearing of Treasury Trades—What the SEC Hopes to Accomplish Compliance Artificial Intelligence: SEC Proposals and ConcernsFINRA Emphasizes Reg BI Standards for Complex Product RecommendationsInvestment Company Status Considerations for Cash Positioning in Wake of Bank Failures Cybersecurity FINRA Repeats Warnings of Imposter WebsitesFINRA Issues Notice Regarding Business Continuity Planning During COVID-19 OutbreakOCIE Releases New Observations on Cybersecurity and Resiliency Distribution Institutional Investment in Crypto Derivatives: Bitcoin Futures and Similar Products – Episode 4As Pandemic Lingers, SEC Has Not Forgotten About Advisers’ Share Class Selection and Compensation PracticesThe SEC Issues its Long-Awaited ETF Rule (Part 3) – The ETF Exemptive Order Diversity & Inclusion D&I Developments at the SEC - Part 2 of 2D&I Developments at the SEC - Part 1 of 2 Dodd-Frank Act and FSOC The SEC’s Fiduciary Rule Proposal — Implications for Investment Advisers (Part 4)The SEC’s Fiduciary Rule Proposal — Implications for Investment Advisers (Part 3)The SEC’s Fiduciary Rule Proposal — Implications for Investment Advisers (Part 2) ESG Investment ESG and the SEC: Where Are We Now? (Part 4 of 4)ESG and the SEC: Where Are We Now? (Part 3 of 4)ESG and the SEC: Where Are We Now? (Part 2 of 4) Exchange Traded Funds FINRA Emphasizes Reg BI Standards for Complex Product RecommendationsUnderstanding Circuit Breakers, Our New Reality, in the Time of COVID-19Re-Proposed Rule 18f-4—Fund Taxonomy Exempt Investment Companies Investment Company Status Considerations for Cash Positioning in Wake of Bank FailuresTreasury Clearing Proposal: More on Multilateral NettingCentral Clearing of Treasury Trades—What the SEC Hopes to Accomplish Family Offices Updated SEC Definition Opens Private Markets to (a Handful of) New InvestorsFamily Offices and the Madness of CrowdsalesSegregating Custody of Family Office Assets Fiduciary Issues The DOL Flip Flops, Proposing Expanded Use of ESG Factors for ERISA PlansThe DOL and the EU on ESGAs Pandemic Lingers, SEC Has Not Forgotten About Advisers’ Share Class Selection and Compensation Practices Fund Organization and Governance Institutional Investment in Crypto Derivatives: Bitcoin Futures and Similar Products – Episode 4SEC Proposes Regulations for Determining Fair Value of Securities Held by Investment CompaniesOCIE Announces Risk-Based Exam Initiatives for Mutual Funds—Part 2 Money Market Funds SEC Study Confirms Swing Pricing Proposal Would Dilute ShareholdersMarket Externalities and Money Market FundsThe Cost of Swing Pricing Too Often Offshore Advisor Regulation The DOL and the EU on ESG Registered Investment Companies Investment Company Status Considerations for Cash Positioning in Wake of Bank FailuresSorting Out the Universal Swing Pricing ProposalTreasury Clearing Proposal: More on Multilateral Netting SEC Enforcement Marketing Exam Sweep Bears FruitArtificial Intelligence: SEC Proposals and ConcernsFINRA Approves the First Special Purpose Broker Dealer to Custody Digital Asset Securities SEC Subcommittee Marketing Exam Sweep Bears FruitD&I Developments at the SEC - Part 2 of 2D&I Developments at the SEC - Part 1 of 2 U.S. Advisor Regulation Artificial Intelligence: An Introduction and General Regulatory LandscapeESG and the SEC: Where Are We Now? (Part 3 of 4)The DOL Flip Flops, Proposing Expanded Use of ESG Factors for ERISA Plans UCITS The DOL and the EU on ESG Uncategorized New Additions and PerspectivesWelcome to Asset Management ADVocate!
