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11 Results

Broker-Dealer and Investment Advisor Regulatory Enforcement, Disputes and Investigations
Insights
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
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
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
Aug 30, 2021

September 1st Implementation of FINRA Rule 1017(a)(7) - “Final Criminal Matters” and “Specified Risk Events” Defined

Key Takeaways This alert is intended to supplement our prior May 11th alert titled “Through the Issuance of New Rules Aimed at Recidivist Brokers and the Firms That Hire Them, FINRA Loudly Exclaims…
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