December 24, 2020

SEC Adopts Investment Adviser Marketing Rule

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December 9, 2020

Counsel Chris Carlson authored an article titled, “Fund Delivery Obligations for Section 19(a) Notices,” which was published in Investment Lawyer.

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November 30, 2020

“Non-EU Managers and the SFDR – Who Does it Impact? and How?”

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November 30, 2020

SEC OCIE Issues Risk Alert on Observations on Investment Adviser Compliance Programs

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November 24, 2020

SEC OCIE Issues Risk Alert on Observations from Examinations of Investment Advisers with Multiple Branch Offices

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November 6, 2020

Reminder: 2021 IARD Renewal Program

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November 6, 2020

SEC Approves Proposed Order Exempting Certain Finders from Broker Registration Requirements

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October 29, 2020

2019/2020 Hedge Fund Side Letter Study

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October 15, 2020

SEC’s Cybersecurity Risk Alert Regarding Credential Stuffing

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September 23, 2020

2019 Benchmark Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons

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September 3, 2020

The SEC Expands the Definition of Accredited Investor

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August 18, 2020

SKRC August Compliance Flash

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August 17, 2020

Client Alert: SEC Charges Private Equity Adviser for Misallocated Expenses

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August 17, 2020

SPACs Are Back, Back Again: What You Should Know

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August 6, 2020

SEC Supplements Prior Guidance on Proxy Voting Responsibilities of Investment Advisers

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