Wealth Management
Overview
Information to come.
Attorneys
Case Studies
- Streamlining of Multi-Faceted Investment Platform’s Ownership Structure
- Hedge Fund Sells Controlling Interest to an Insurance Company
- Negotiation of Wealth Management Group’s Relationship with Large Investment Bank
- Defense of An Investment Management Firm in Complex Trademark Infringement Case
- Hedge fund recovers for attorney malpractice
- SEC Investigation of Hedge Fund Manager
Publications
- Coronavirus Update – SEC Issues Limited Form ADV and Form PF Filing Relief to Investment Advisers
- SEC Approves Regulation Best Interest
- Top Six Advisory Fee and Expense Deficiencies Identified by OCIE
- SEC Announces 2018 Examination Priorities
- General Data Protection Regulation Affects Investment Advisors with EU Clientele
- SEC Amendments to Form ADV Effective on October 1, 2017
- Second Circuit Issues Key Decision Clarifying What A Tippee Must Know To Be Held Liable For Criminal Insider Trading Liability
- Assessing Never-Examined SEC-Registered Investment Advisers: An SEC NEP Priority
Wealth Management
Overview
Information to come.
Attorneys
Case Studies
- Streamlining of Multi-Faceted Investment Platform’s Ownership Structure
- Hedge Fund Sells Controlling Interest to an Insurance Company
- Negotiation of Wealth Management Group’s Relationship with Large Investment Bank
- Defense of An Investment Management Firm in Complex Trademark Infringement Case
- Hedge fund recovers for attorney malpractice
- SEC Investigation of Hedge Fund Manager
Publications
- Coronavirus Update – SEC Issues Limited Form ADV and Form PF Filing Relief to Investment Advisers
- SEC Approves Regulation Best Interest
- Top Six Advisory Fee and Expense Deficiencies Identified by OCIE
- SEC Announces 2018 Examination Priorities
- General Data Protection Regulation Affects Investment Advisors with EU Clientele
- SEC Amendments to Form ADV Effective on October 1, 2017
- Second Circuit Issues Key Decision Clarifying What A Tippee Must Know To Be Held Liable For Criminal Insider Trading Liability
- Assessing Never-Examined SEC-Registered Investment Advisers: An SEC NEP Priority