Searching Content indexed under Fund Management/ REITs by Fox Rothschild LLP ordered by Published Date Descending.
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Private Equity And Hedge Funds: Regulatory Analysis And Structural Overview
We have produced this handbook as a reference guide for all those who are interested in this exciting field, from potential entrants to those who may be more established and need a quick reference guide.
United States
22 Oct 2016
Why Treating Customer Complaint With Therapeutic Neglect Always Fails
I have seen this "human nature" all too often when defending brokers and advisor from customer complaints.
United States
2 Aug 2016
It Is All About The Disclosures
The SEC recently commenced an enforcement action against an investment advisory firm and its principal in connection with the failure to disclose material conflicts of interest in connection with new mutual funds that the firm recently created and managed.
United States
13 Jun 2016
Experts Say Final Fiduciary Rule Will Flatten Fees
Michelle M. McCarthy is featured in the Employee Benefit Advisor article, "Experts Say Final Fiduciary Rule Will Flatten Fees."
United States
14 Apr 2016
Firms Expect Greater Government Cybersecurity Oversight
Ernest E. Badway was featured in the CIO article, "Firms Expect Greater Government Cybersecurity Oversight."
United States
16 Mar 2016
SEC Exam Priorities; It Seems Like Deja Vu All Over Again
Those famous words of the immortal Yogi Berra hold true when it comes to the SEC exam priorities for 2016.
United States
27 Jan 2016
Who Still Thinks FINRA Is Not Interested In Elder Investor Issues
As you may know, FINRA, last April, launched a senior helpline to address issues pertaining to senior investors.
United States
7 Jan 2016
Why Does The SEC Care About Elder Clients
The SEC is conducting an exam sweep that focuses on retirement advice being given to clients of investment advisors and broker-dealers.
United States
30 Dec 2015
High Court Reverses Court Of Chancery In Sanchez Derivative Litigation
Earlier this month, the Delaware Supreme Court reversed a decision of the Delaware Court of Chancery in the matter of In re Sanchez Energy Derivative Litig., No. 702, 2014 (Del. Oct. 2, 2015)...
United States
2 Nov 2015
What You Need To Know About The SEC Cybersecurity Exam Priority
In a recent risk alert, the SEC announced that it was instituting a second exam priority focused on cybersecurity at broker-dealers and registered investment advisors.
United States
21 Sep 2015
401(K) Hardship Withdrawals To Stabilize Post-Divorce Finances
The need to take a "hardship distribution" is not uncommon for many people involved in a divorce.
United States
7 May 2015
So What Does The SEC Think About Cybersecurity
At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors.
United States
5 May 2015
The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts.
United States
16 Apr 2015
FINRA In 2015 – Wealth Events
FINRA’s 2015 Regulatory and Examinations Priorities Letter provides guidance regarding areas of focus in the "Sales Practice" for this year.
United States
13 Feb 2015
FINRA In 2015 – Sales Products
Earlier this month, FINRA released its 2015 Regulatory and Examinations Priorities Letter. In the letter, FINRA lays out its 2015 priorities, which focus on three general areas.
United States
10 Feb 2015
FINRA In 2015 – Sales Practice – Part 1
Earlier this month, FINRA released its 2015 Regulatory and Examinations Priorities Letter. In the letter, FINRA lays out its 2015 priorities, which focus on three general areas.
United States
30 Jan 2015
Delaware Trust Beneficiaries: Why It Is Important That Your Trustee Is Trustworthy
Are you a Delaware trust beneficiary? If so, then I have some important information to share with you.
United States
1 Aug 2014
SEC "Presence" Exam Ahead Of Schedule
The SEC’s push to conduct narrowly focused examinations of newly registered investment advisers is ahead of schedule.
United States
11 Jul 2014
The SEC And Never Been Examined Firms
The SEC has launched an investment adviser examination initiative to review those who have never been examined.
United States
9 Jul 2014
Trading And Markets Focus On Broker Registration
The Securities and Exchange Commission Division of Trading and Markets is continuing to focus on broker-dealer registration issues in the private fund area.
United States
9 Dec 2013
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