Refine Results
Filter By Date
Filter By Content Type
Filter By News Type
Filter By Topics
- ESG (9)
- Investments (4)
- Closed-End Funds (3)
- Liquidity (3)
- Disclosure (3)
- Fees (2)
- Regulations (2)
- Alternative Investments (2)
- Compliance (2)
- Cryptocurrency (2)
- Enforcement (1)
- Governance (1)
- Proxy (1)
- CCO (1)
- Money Market Funds (1)
- Cybersecurity (1)
- Risk (1)
- Diversity (1)
- Reporting (1)
- New Directors (1)
-
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 …
-
SEC Voluntarily Stays Implementation of Climate Rule
The Securities and Exchange Commission (SEC) announced it would voluntarily stay the implementation of …
-
Event of Interest: Stradley to Host SEC Enforcement Webinar
Enforcement lawyers at Stradley Ronon will review key enforcement themes and results for fiscal year …
-
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 …
-
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 …
-
SEC Finalizes Private Funds Rule, Industry Files Suit
According to a recent client alert from Ropes & Gray, these reforms include several quarterly reporting …
-
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 …
-
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
-
CEF-Litigation
Closed-End Fund Litigation Overview and Update June 27, 2023 Ryan Brizek and Alan Turner …
-
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
-
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 …
-
SEC Charges Trustees, Adviser with Liquidity Rule Violations
The Securities and Exchange Commission announced charges against Pinnacle Advisors LLC for “aiding and …
-
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 …
-
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 …
-
SEC Releases Report on Enforcement Statistics for 2022
According to the release, these included 462 "stand alone" enforcement actions; 129 actions against issuers …
-
ACA Releases November Regulatory Update
The report covers the SEC’s crackdown on use of unmonitored messaging apps, the approaching annual renewal …
-
Ropes & Gray Releases Quarterly Crypto Update
Ropes & Gray published a report covering recent litigation, regulatory, and legislative updates in the …
-
Impact of Supreme Court Decision in West Virginia v. EPA on SEC Rulemakings
A recent blog post entitled, “West Virginia v. EPA Casts a Shadow Over SEC’s Proposed Climate-Related …