Margin Accounts and Implications for Use by Advisory Clients
Bart J. McDonald Renaissance Regulatory Services The Securities and Exchange Commission’s (“SEC’s”) current exam focus includes retail client accounts, leverage, fees, and conflicts of interest. The use (or misuse) of...
May 24, 2021
Richard D. Marshall Katten Muchin Rosenman The regulation of cross trading is a surprisingly complex area of law. This is because the term itself is defined differently in different statutes...
March 23, 2021
Common Provisions in Investment Subadvisory Agreements for Registered Funds
By Christopher D. Carlson, Counsel, Seward & Kissel LLP* March 19, 2020 Christopher D. Carlson, Counsel Seward & Kissel LLP A registered investment adviser (“adviser”) that advises an investment company...
March 19, 2020
Private Fund Advisers and the Proposed Changes to the Advertising Rule
Private Fund Advisers and the Proposed Changes to the Advertising Rule By Benjamin Haskin, Partner, and Richard Jackson, Counsel, Willkie Farr & Gallagher LLP * January 1, 2020 Benjamin...
January 01, 2020
How to Maximize Your E&O/D&O Insurance Coverage in the Event of an SEC Investigation
How to Maximize Your E&O/D&O Insurance Coverage in the Event of an SEC Investigation By P. Noble (“Noby”) Powell, Jr. CIC, RA* Asset Management Insurance, A Division of Maury Donnelly...
November 01, 2019
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