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32 Results
Broker-Dealer and Investment Advisor Regulatory Enforcement, Disputes and Investigations
Events
May 09, 2023
May 09, 2023
BCLP Hosts 11th Annual Regulatory Roundtable
Partners Jeff Kalinowski and Jeff Ziesman are set to host the 11th annual Regulatory Roundtable on May 9 in Minneapolis, Minnesota.
Insights
Mar 29, 2023
Mar 29, 2023
FDI Regulation in the US, UK, France & Germany
The regulation of foreign direct investment (“FDI”) has become an increasingly important feature of the regulatory landscape for investors. Globally, there is a trend towards greater FDI restrictions…
Insights
Oct 20, 2022
Oct 20, 2022
Implications of FINRA’s Recently Released 2022 Sanction Guidelines
Key Takeaways:
Last December, BCLP’s Financial Services Disputes and Investigations Team issued an alert discussing the Sanction Guidelines issued by FINRA on October 20, 2021. A copy of that alert…
Insights
Jun 06, 2022
Jun 06, 2022
The SEC’s Continued Efforts to Dive Feet First into Climate Control and ESG Initiatives
On May 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) provided notice of proposed rulemaking aimed at Investment Advisers (“Advisers”), Investment Companies and Business Development…
Insights
May 10, 2022
May 10, 2022
SEC Continues Focus on Insider Trading by Securities Industry Participants
Insights
Mar 15, 2022
Mar 15, 2022
FINRA Requests Information from Member Firms Related to the Sale of Complex Products by May 9, 2022
On March 8, 2022, FINRA released Regulatory Notice 22-08 expressing continued concerns related to the sale of complex products and options (“complex products”) to retail investors.The expressed…
Insights
Mar 01, 2022
Mar 01, 2022
The SEC’s Recent Observations from Examinations into Private Fund Advisers
On January 27, 2022, the SEC released a Risk Alert from the Division of Examinations (“EXAMS”), wherein it reported concerns noted during its recent examinations of investment advisers who manage…
Insights
Dec 20, 2021
Dec 20, 2021
The SEC’s Recent Observations from Examinations into Advisers’ Fee Calculations
Key Takeaways:
On November 10, 2021, the SEC released a Risk Alert which provides observations from recent examinations into advisers’ fee calculations. A copy of that Alert can be found HERE.
In…
Insights
Dec 06, 2021
Dec 06, 2021
Observations from a Review of FINRA’s 2021 Sanction Guidelines
This material is not comprehensive, is for informational purposes only, and is not legal advice. Your use or receipt of this material does not create an attorney-client relationship between us. If you require legal advice, you should consult an attorney regarding your particular circumstances. The choice of a lawyer is an important decision and should not be based solely upon advertisements. This material may be “Attorney Advertising” under the ethics and professional rules of certain jurisdictions. For advertising purposes, St. Louis, Missouri, is designated BCLP’s principal office and Kathrine Dixon (kathrine.dixon@bclplaw.com) as the responsible attorney.