Ten Changes to Expect from the SEC’s New Enforcement Program
By Jon N. Eisenberg, Partner at K&L Gates. Investors, borrowers, financial institutions, and the economy were not the only casualties of...
Fixed Income Signals: A Red Alert for Compliance and Valuations?
The SEC recently issued guidance about risk management in the fixed income market in light of the prospect of the Fed tapering its...
Turf War on Systemic Risk Overlooks Key Issues
A January 28th Wall Street Journal article notes that two powerful US regulators, the SEC and the Fed, are in a "turf war" over asset...
Has the U.S. Got it All Wrong?
As my colleagues and I were plowing through the SEC’s latest set of rules—concerning the need for municipal securities advisors to...
Asset Managers “Blind” to Risks of Systemic Regulation?
When the Office of Financial Research (OFR) released a report concluding that asset managers could contribute to “systemic risk,” RFG...
How Sustainable is Your Advantage? Redux.
The ability to obtain information that leads to insights concerning market trends is frequently considered the mark of a savvy investor....
SARs: Guess Who's Watching You Now?
Last week’s settlement by JP Morgan gives advisers and investors yet another aspect of the enforcement landscape to consider when...
An Enforcement Prediction for 2014: Renewed Focus on Accounting
One of the challenges for the compliance community and private securities bar is trying to anticipate what the focus of the various...
2014: Five Ways the SEC Will Impact You
Since the summer of 2012 the SEC has embarked on a drive to change the culture within financial services firms, including those in the...
Valuation Remains a Top Regulatory Focus
The SEC charged GLG Partners, L.P. (“GLG”), a UK investment adviser, and GLG Partners, Inc. (“GPI”), its US holding company traded on the...