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.

Print:
Email this postTweet this postLike this postShare this post on LinkedIn
Photo of John Ayanian John Ayanian

John is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. He counsels U.S. and foreign financial institutions and markets on all aspects of their U.S. securities trading, markets, and clearing

John is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. He counsels U.S. and foreign financial institutions and markets on all aspects of their U.S. securities trading, markets, and clearing activities. These include issues arising under U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules.

Photo of Elizabeth J. Hogan Elizabeth J. Hogan

Elizabeth Hogan (“Lizzie”) is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group. 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…

Elizabeth Hogan (“Lizzie”) is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group. 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 a member of the firm’s Financial Services & Securities Enforcement Department. For more than 20 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the SEC, FINRA, the United States Department of Justice…

Louis is a member of the firm’s Financial Services & Securities Enforcement Department. For more than 20 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the SEC, FINRA, the United States Department of Justice, and state regulatory agencies. Louis also has substantial experience conducting internal investigations and counseling clients on corporate governance and disclosure issues, including strategies for avoiding potential regulatory issues through preventive remedial measures. Prior to entering private practice, Louis worked in the SEC’s Enforcement Division, where he conducted investigations to evaluate and enforce compliance with the federal securities laws. He also participated in the prosecution of civil and administrative enforcement actions.

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.