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January 20, 2022
Tips and Considerations for Form ADV Annual Amendments
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January 14, 2022
SEC Proposes Amendments to Money Market Fund Rules
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January 13, 2022
Seward & Kissel’s Investment Management 2021 Year in Review
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January 6, 2022
ICLG – ESG Law 2022: “U.S. Legal and Compliance Issues Relating to ESG for Private Fund Advisers”
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December 22, 2021
Financial Stability Oversight Council Releases Report on Climate-Related Financial Risk
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December 15, 2021
2020/2021 Hedge Fund Side Letter Study
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December 7, 2021
SEC Division of Examinations Issues Risk Alert on Robo-Advisers
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December 3, 2021
Investment Adviser to Pay $18 million to SEC for Compliance Failures in Handling MNPI
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November 29, 2021
SEC Division of Examinations Issues Risk Alert on Investment Advisers’ Fee Calculations
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November 8, 2021
2022 IARD Renewal Program
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November 4, 2021
SEC Proposes Amendments to Increase Proxy Voting Transparency
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October 19, 2021
SEC’s Division of Corporation Finance Issues Sample Letter to Companies Regarding Climate Change Disclosures
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October 15, 2021
Chamber of Commerce Releases Results of Survey of Public Companies on ESG and Climate Change
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October 4, 2021
SEC Settles Securities Fraud Charges with App Annie and its Founder
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September 15, 2021
SEC Sanctions Multiple Investment Advisers and Broker-Dealers for Cybersecurity Violations
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