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Mayer Brown
Peter M. McCamman
Peter M. McCamman
Mayer Brown
WhatsApp All Over Again: The SEC Brings More Recordkeeping Charges Against Broker-Dealers And Investment Advisers For Off-Channel Communications
21 Feb 2024 | United States
SEC Releases Final Private Fund Adviser Rules: Key Changes And Takeaways
25 Aug 2023 | United States
In-Depth: US SEC Proposes New Safeguarding Rule For Investment Advisers
24 Apr 2023 | United States
SEC Proposes New Rule For Safeguarding Client Assets
02 Mar 2023 | United States
SEC Division Director: Staff MiFID II Research Compensation Relief To Expire July 2023
09 Aug 2022 | United States
US Securities And Exchange Commission Division Of Examinations 2022 Exam Priorities
19 Apr 2022 | United States
SEC's Division Of Examinations 2021 Exam Priorities – Investment Advisers And Investment Companies
16 Mar 2021 | United States
What Is The Fate Of The New Marketing Rule For Investment Advisers?
12 Feb 2021 | United States
SEC's OCIE Publishes Investment Adviser Branch Office Risk Alert
16 Dec 2020 | United States
SEC's OCIE Publishes Risk Alert Providing Its Observations Of Investment Adviser Compliance Programs
10 Dec 2020 | United States
SEC Adopts Fund Of Funds Arrangements Rule
20 Oct 2020 | United States
OCIE Releases Risk Alert Regarding Compliance Considerations During COVID-19 Pandemic
24 Aug 2020 | United States
SEC Staff Issues Statement Regarding Temporary International Mail Service Suspensions To Certain Jurisdictions Related To COVID-19
06 Jul 2020 | United States
SEC Proposes Valuation Rule For Registered Funds
26 May 2020 | United States
Commentary: Investment Management Survival Tips In The COVID-19 Environment
24 May 2020 | United States
SEC's OCIE Releases Its 2020 Examination Priorities
07 Feb 2020 | United States
SEC Staff Seeks Public Comment Regarding Custody Issues Associated With Non-DVP Arrangements And Digital Assets
10 Apr 2019 | United States
SEC Staff Grants Limited No-Action Relief Regarding The In-Person Board Meeting Requirement Under The Investment Company Act
19 Mar 2019 | United States
OCIE's 2019 Examination Priorities And 2018 Enforcement Actions: Practice Points For Advisers To Consider
27 Feb 2019 | United States
US Securities And Exchange Commission Announces 2015 Examination Priorities
27 Jan 2015 | United States
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