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Searching Content indexed under Corporate/Commercial Law by Stephanie Monaco ordered by Published Date Descending.
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SEC Publishes Guidance On The Proxy Voting Responsibilities Of Investment Advisers
On August 21, 2019, the US Securities and Exchange Commission (SEC) published guidance on the proxy voting responsibilities of investment advisers under the Investment Advisers Act of 1940
United States
11 Sep 2019
2
SEC Publishes Final Interpretation Of Investment Adviser Standard Of Conduct
On June 5, 2019, the SEC published an interpretation of the standard of conduct for investment advisers under the Investment Advisers Act of 1940.
United States
27 Jun 2019
3
Model Risk Strikes Again: SEC Imposes $3 Million Fine Due To Error In Computer Model
On April 19, 2019, the US Securities and Exchange Commission (SEC) published a settled administrative proceeding against Prosper Funding LLC (Pr)osper) for violating Section 17(a)(2
United States
10 May 2019
4
SEC Staff Seeks Public Comment Regarding Custody Issues Associated With Non-DVP Arrangements And Digital Assets
On March 12, 2019, the staff of the Division of Investment Management of the US Securities and Exchange Commission (the "Staff" and the "SEC," respectively) published a letter to the Investment Adviser Association.
United States
10 Apr 2019
5
SEC Settles Charges With 79 Self-Reporting Advisers In Share Class Selection Disclosure Initiative
On March 11, 2019, the US Securities and Exchange Commission announced that it settled charges against 79 investment advisers who self-reported violations.
United States
4 Apr 2019
6
OCIE's 2019 Examination Priorities And 2018 Enforcement Actions: Practice Points For Advisers To Consider
The US Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its 2019 examination priorities on December 20, 2018,
United States
27 Feb 2019
7
US Securities And Exchange Commission Announces 2015 Examination Priorities
The Office of Compliance Inspections and Examinations of the US Securities and Exchange Commission has announced its 2015 examination priorities.
United States
27 Jan 2015
8
US Securities and Exchange Commission Settles Its First Whistleblower
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission's first whistleblower anti-retaliation case.
United States
30 Jun 2014
9
Final Regulation Implementing the Volcker Rule
The US federal financial regulators recently approved the much-anticipated joint final regulation implementing the Volcker Rule.
United States
19 Dec 2013
10
US Commodity Futures Trading Commission Releases FAQs For CPOs and CTAs
On August 14, 2012, the US Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight released a set of frequently asked questions and answers.
United States
23 Aug 2012
11
US Securities and Exchange Commission Adopts New Exemptions for Investment Advisers
On July 21, 2010, The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd- Frank) was signed into law, amending certain portions of the Investment Advisers Act of 1940, as amended (Advisers Act) effective July 21, 2011.
United States
 
25 Jul 2011
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