August 10, 2017

SEC Risk Alert urges broker-dealers, investment advisers, and investment companies to improve cybersecurity

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August 3, 2017

FATCA and CRS News Alerts – August 2017

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August 3, 2017

Partner Rob Van Grover authored an article in the Journal of Investment Compliance titled, “Pay to Play Violations: An SEC Focus.”

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July 27, 2017

SEC Speaks Out on ICOs, Cautions That Some May Involve Offering of Unregistered Securities

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July 26, 2017

Division of Investment Management Responds to Questions Regarding New Fund Reporting Rules

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June 29, 2017

CFTC Modernizes Recordkeeping Rule

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June 28, 2017

Certain Key Compliance Topics for Private Equity Fund Advisers

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June 26, 2017

Reminder: Amendments to Form ADV and the Books and Records Rule Become Effective on October 1, 2017

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June 22, 2017

Q&As — Now That the DOL’s Fiduciary Rule Is Applicable

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June 6, 2017

The Supreme Court Holds 5-Year Statute of Limitations Applies to Disgorgement

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June 5, 2017

June 2017 Compliance Flash

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May 31, 2017

New Rules to Modernize Reporting Obligations of Registered Investment Companies

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May 26, 2017

The DOL Fiduciary Rule – Action Steps For Investment Managers

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May 24, 2017

Investments by Private Equity Funds: Legal and Regulatory Matters

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May 9, 2017

Key Impacts on Private Equity Industry of House Proposals

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