Read the latest Governance & Securities Alert from Howard Dicker, PJ Himelfarb and Shira Barron – SEC Reveals Latest Regulatory Priorities: Key Actions Affecting Public Companies and Investors – https://lnkd.in/e-XSdBqp
Weil, Gotshal & Manges LLP’s Post
More Relevant Posts
-
U.S. Securities and Exchange Commission has just set its ‘Compliance Priorities for 2024’. It outlines the importance of regulatory compliance for investment advisers, investment companies, and broker-dealers; more information can be found here: https://lnkd.in/eF_s_-bw #regulatorycompliance #sec #compliance
-
Explore the intricacies of the recent $4 million U.S. Securities and Exchange Commission settlement with an RIA, uncovering compliance lapses related to MNPI and misleading communications, in today’s Investment Management client alert by Lowenstein’s Scott Moss and Jeremy Cantor. Read the full alert: https://bit.ly/48JJhrs #compliance #investmentmanagement #investorcommunications #securities #lawyers
SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements and Investor Communications (IM) | Lowenstein Sandler LLP
-
Helpful insights from the amazing Ranah Esmaili in this interview with Jay Baris. Great job!
Why me? And why now? That is usually the first thing an investment adviser asks when the U.S. Securities and Exchange Commission's Division of Examinations comes knocking on the door. Understanding why the SEC chooses advisers for examinations at any given time could help the adviser better prepare for the inevitable. Tune in to Mutual Fund Minute to hear Ranah Esmaili, Sidley Austin LLP partner and a member of the firm’s global Securities Enforcement and Regulatory practice discuss how the Division of Examinations determines which advisers to examine and the scope of those examinations. #investmentadvisers
Why Me? How the SEC Decides Which Investment Adviser to Examine
sidley.com
-
Why me? And why now? That is usually the first thing an investment adviser asks when the U.S. Securities and Exchange Commission's Division of Examinations comes knocking on the door. Understanding why the SEC chooses advisers for examinations at any given time could help the adviser better prepare for the inevitable. Tune in to Mutual Fund Minute to hear Ranah Esmaili, Sidley Austin LLP partner and a member of the firm’s global Securities Enforcement and Regulatory practice discuss how the Division of Examinations determines which advisers to examine and the scope of those examinations. #investmentadvisers
Why Me? How the SEC Decides Which Investment Adviser to Examine
sidley.com
-
In a further challenge to the U.S. Securities and Exchange Commission’s rules related to private fund advisors, industry groups are leaning in on the agency’s authority to impose regulatory oversight. https://lnkd.in/gyF8vUTQ
-
-
Trusted and Experienced Advisor and Deal Lawyer. Global Leader of Investment Funds Practice, Managing Partner of the Boston Office and Executive Committee Member at Sidley Austin LLP
Helpful insights from Ranah Esmaili and Jay Baris ….
Why me? And why now? That is usually the first thing an investment adviser asks when the U.S. Securities and Exchange Commission's Division of Examinations comes knocking on the door. Understanding why the SEC chooses advisers for examinations at any given time could help the adviser better prepare for the inevitable. Tune in to Mutual Fund Minute to hear Ranah Esmaili, Sidley Austin LLP partner and a member of the firm’s global Securities Enforcement and Regulatory practice discuss how the Division of Examinations determines which advisers to examine and the scope of those examinations. #investmentadvisers
Why Me? How the SEC Decides Which Investment Adviser to Examine
sidley.com
-
Securities Practice: 2023 in Review: https://ow.ly/P2yM50QvYhR
Securities Practice: 2023 in Review
lexology.com
-
Read Weil’s latest Governance & Securities Alert from Lyuba Goltser and Kaitlin Descovich – Heads Up for the 2024 Proxy Season: Key Corporate Governance, Disclosure and Engagement Topics – https://lnkd.in/eu2XtBES
-
-
💡 We've published the 2024 FINRA Annual Regulatory Oversight Report to share key insights and observations with member firms to use in strengthening their compliance programs. The comprehensive report covers 26 topics—including four new topics—relevant to the evolving securities industry. Read the report ▶️ https://bit.ly/3vCUr2Q
2024 FINRA Annual Regulatory Oversight Report
-
Hot off the press! Please share with your staff and compliance teams. RRMP stands ready to assist you in your compliance efforts. #compliance #finra #regulatorycompliance #compliancematters #complianceofficer #compliancesolutions #complianceservices #complianceprofessionals #rrmp #annualreport
💡 We've published the 2024 FINRA Annual Regulatory Oversight Report to share key insights and observations with member firms to use in strengthening their compliance programs. The comprehensive report covers 26 topics—including four new topics—relevant to the evolving securities industry. Read the report ▶️ https://bit.ly/3vCUr2Q
2024 FINRA Annual Regulatory Oversight Report
