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Monthly Regulatory Newsletter - April 2024

Monthly Regulatory Newsletter - April 2024
lexology.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from lexology.com Daily Mail and Mail on Sunday newspapers.

City ofUnited kingdomBruxelles capitaleUnited statesHogan lovellsNikhil rathiElon muskAndrew douglasCharlie geffenRachel kentMatthew panuwatRobert quinn consultingTask force on climateIntroductory servicesDivision of examinations theGroup united kingdom office ariel house

SEC Division of Examinations Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance | Dinsmore & Shohl LLP

On April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert regarding investment advisers’ compliance with amended.

Dinsmore shohlDivision of examinations theExchange commissionRisk alertInvestment advisers act ruleMarketing rule itemsAdvisers act ruleMarketing ruleAdopting releaseRecords ruleCash solicitation ruleMaterial factUnsubstantiated statementsMaterial factsBalanced treatmentMaterial risks

SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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United statesPublic schoolNew yorkHarris assocsJed rakoffWilliam birdthistleCorey schusterMark uyedaGary genslerCaroline crenshawThomasp smith jrGurbirs grewalHester peirceNatasha vij greinerColumbus school of lawShare provisions violate the investment company

Securities and Exchange Commission in the New Year

Securities and Exchange Commission in the New Year
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Los angelesUnited statesNew jerseyWest virginiaKatee zoladzTaisha johnsonKathryn pyszkaDanielr gregusKate zoladzCorey schusterStephanie allenDaniel gregusWilliam sadleirGary genslerVanessa hortonChicago regional office

Ropes & Gray s Investment Management Update October – November 2023 - Investment Strategy

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry.

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