June 3, 2024
Proxy Vote Reporting: Considerations for Institutional Investment Managers as the Form N-PX Filing Deadline Approaches
June 3, 2024
Employment Litigation Roundup: May 2024
May 29, 2024
SEC Shortening of Securities Transaction Settlement Cycle to Take Effect
May 29, 2024
Gregg Bateman, Y. Daphne Coelho-Adam and Michael Danenberg Author Chapter in International Comparative Legal Guide – Lending & Secured Finance 2024
May 28, 2024
SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers
May 24, 2024
Two Thoughts About the ETH ETP Approval That May Have Gotten Lost in the Shuffle
May 24, 2024
Much Sad
May 23, 2024
SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies
May 23, 2024
Partner Bradley Fay Interviewed in Hedge Fund Law Report Article Titled, “Impact of Amendments to QPAM Exemption on ERISA Funds”
May 16, 2024
DOL Publishes Final Regulation Expanding the Definition of an ERISA Fiduciary
April 16, 2024
SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees
May 15, 2024
SEC Charges Investment Adviser with Pay-to-Play Violation, Bringing Political Contributions into Focus During Election Year
May 10, 2024
Seward & Kissel Attorneys Author IAA Article on Off-Channel Communications
April 7, 2024
SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance
May 2, 2024
T+1 Settlement Cycle: Implications for Investment Advisers