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Kramer Levin Naftalis & Frankel LLP
Kevin P. Scanlan
Kevin P. Scanlan
Kramer Levin Naftalis & Frankel LLP
SEC Takes Action Against 'AI Washing,' Fines Two Investment Advisers For Misrepresenting Artificial Intelligence Use
27 Mar 2024 | Worldwide
SEC Proposes Rules To Address Conflicts Of Interest In The Use Of AI By Investment Advisers And Broker-Dealers
09 Aug 2023 | United States
SEC Proposes Data Breach Notification And Incident Response Requirements
30 Mar 2023 | United States
SEC Proposes Oversight Requirements For Services Outsourced By Investment Advisers
31 Oct 2022 | United States
SEC Continues To Ramp Up Enforcement On Crypto
18 Aug 2022 | United States
SEC Proposes New Rules Aimed At Increasing Short Sale Transparency
08 Mar 2022 | United States
OFAC Issues Sanctions Compliance Guidance For Virtual Currency Industry
03 Nov 2021 | United States
SEC Increases Slightly ‘Qualified Client' Dollar Amount Thresholds
02 Jul 2021 | United States
SEC Adopts New Marketing Rule
04 Jan 2021 | United States
Second Circuit Addresses Disgorgement Of Short-Swing Profits By Hedge Funds And Their Investment Advisers
02 Dec 2020 | United States
OCIE Warns Of Increased ‘Credential Stuffing' Cyberattacks On Investment Advisers, Broker-Dealers
02 Oct 2020 | United States
SEC Proposes Amendments To Update Form 13F
16 Jul 2020 | United States
SEC Releases Risk Alert On Observations From Examinations Of Investment Advisers Managing Private Funds
10 Jul 2020 | United States
Certain Considerations Associated With A Limited Partner Default In A Private Equity Fund
02 Jul 2020 | United States
OCIE Issues Risk Alert On Form CRS Compliance
24 May 2020 | United States
COVID-19 Update: Hedge Fund Liquidity Management Considerations
06 Apr 2020 | United States
OCIE Releases 2020 Examination Priorities
06 Feb 2020 | United States
Key Takeaways From SEC Proposal On Advertising And Cash Solicitation Rules
04 Dec 2019 | United States
SEC Proposes To Modernize The Advertising And Cash Solicitation Rules For Investment Advisers
15 Nov 2019 | United States
OCIE Notifies Investment Advisers Of Principal And Agency Cross Trading Compliance Deficiencies
07 Oct 2019 | United States
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