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SEC Announces Settlements for Marketing Rule Violations, Releases Marketing Rule Risk Alert
The SEC announced that it had settled charges against five registered investment advisers for violations …
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SEC Voluntarily Stays Implementation of Climate Rule
The Securities and Exchange Commission (SEC) announced it would voluntarily stay the implementation of …
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Control Share Litigation
Copyright © 2024 by Willkie Farr & Gallagher LLP. All Rights Reserved. These materials may not be reproduced …
- Webinar Archive: CEF Litigation Updates
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MFDF Webinar: Closed-End Fund Litigation Update
The program will highlight recent court decisions, pending litigation, and an overview of CEF activism …
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Event of Interest: Stradley to Host SEC Enforcement Webinar
Enforcement lawyers at Stradley Ronon will review key enforcement themes and results for fiscal year …
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SEC Announces Settlement with Credit Suisse Securities on Prohibited Mutual Fund Services
The Securities and Exchange Commission (SEC) announced that Credit Suisse Securities and two other affiliated …
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Fifth Circuit Court of Appeals Declines to Review SEC Approval of ‘Nasdaq Rule’
The U.S. Court of Appeals for the Fifth Circuit denied petitions to review the Securities and Exchange …
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SEC Finalizes Private Funds Rule, Industry Files Suit
According to a recent client alert from Ropes & Gray, these reforms include several quarterly reporting …
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Popular Blog Post: SEC Charges Trustees, Adviser with Liquidity Rule Violations
Last May, the Commission announced charges against Pinnacle Advisors LLC for “aiding and abetting Liquidity …
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Event of Interest: Dechert to Host Webinar on ESG Litigation Risks
On Wednesday, July 12 at 12:00pm ET, Dechert plans to host a webinar titled, “ESG Backlash in the United …
- Webinar Archive: Closed-End Fund Litigation Overview and Update
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CEF-Litigation
Closed-End Fund Litigation Overview and Update June 27, 2023 Ryan Brizek and Alan Turner …
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Forum Webinar: Closed-End Fund Litigation Overview and Update
Simpson Thacher partners Ryan Brizek and Alan Turner will host a webinar covering recent updates in …
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Mutual Fund Litigation-Enforcement
© 2022 Dechert LLP Catherine Botticelli Joshua Hess David Kotler Anthony Kelly June 6, 2023 …
- Webinar Archive: Latest Updates in Mutual Fund Litigation and Enforcement
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MFDF Webinar: Latest Updates in Mutual Fund Litigation and Enforcement
Tomorrow, June 6 at 2:00pm ET partners with Dechert’s financial services practice plan to review mutual …
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SEC Charges Trustees, Adviser with Liquidity Rule Violations
The Securities and Exchange Commission announced charges against Pinnacle Advisors LLC for “aiding and …
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Morgan Lewis Releases Report on SEC Exams and Enforcement Developments
Of relevance to fund directors, the report highlights a summary of ESG-related enforcement actions including …
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Kirkland & Ellis Releases Alert Highlighting SEC Scrutiny of ESG Claims by Advisers
The alert highlights how the fact pattern of the GSAM case varied slightly from the BNY Mellon order …