The Securities and Exchange Commission continues to propose rules at a rapid pace. Three of the most recent proposed rules would significantly impact investment advisers by:

  1. Requiring documentation of registered investment adviser compliance reviews;
  2. Establishing cybersecurity risk management and reporting requirements for investment advisers, investment companies and business development companies;
  3. Updating and accelerating beneficial ownership reporting requirements.

Read our alert to learn more about the proposed rules and their potential impacts on investment advisers.

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Photo of Brian Baltz Brian Baltz

Brian is a partner in the firm’s Government Investigations and White Collar Litigation Department and member of the Securities Enforcement & Litigation team. Brian counsels financial institution clients with a focus on issues that cut across their broker-dealer, investment adviser, and bank fiduciary…

Brian is a partner in the firm’s Government Investigations and White Collar Litigation Department and member of the Securities Enforcement & Litigation team. Brian counsels financial institution clients with a focus on issues that cut across their broker-dealer, investment adviser, and bank fiduciary business models.

Photo of John Ayanian John Ayanian

John is a partner in the firm’s Government Investigations and White Collar Litigation and Securities Enforcement & Litigation teams, where he anchors the broker-dealer regulatory counseling practice, advising clients on broker-dealer and securities markets regulation.

Photo of Elizabeth J. Hogan Elizabeth J. Hogan

Elizabeth Hogan (“Lizzie”) is the co-chair of the Securities Enforcement and Litigation team in the firm’s nationally ranked Government Investigations and White Collar Litigation department and a member of the Broker-Dealer practice for the Financial Institutions Industry team. As the former senior vice…

Elizabeth Hogan (“Lizzie”) is the co-chair of the Securities Enforcement and Litigation team in the firm’s nationally ranked Government Investigations and White Collar Litigation department and a member of the Broker-Dealer practice for the Financial Institutions Industry team. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority (FINRA), Lizzie has unique insight into the priorities and procedures of financial services regulators, including the SEC, FINRA, the exchanges, and state securities regulators and attorneys general. Lizzie represents clients in complex securities matters, focusing on investigations, regulatory enforcement proceedings, and litigation.

Photo of Louis D. Greenstein Louis D. Greenstein

Louis is Co-Chair of the SEC Enforcement & Litigation team for the Government Investigations and White Collar Litigation Department. For more than 20 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the Securities and…

Louis is Co-Chair of the SEC Enforcement & Litigation team for the Government Investigations and White Collar Litigation Department. For more than 20 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the United States Department of Justice, and state regulatory agencies.

Photo of Molly White Molly White

Molly is a former Securities and Exchange Commission prosecutor, who brings her seasoned trial and trial preparation skills to a range of clients in complex commercial litigation and government, regulatory and criminal investigation matters.