Investment Management

FinCEN issued its long-awaited proposed rule that would impose AML/CFT obligations on certain investment advisers, such as...

While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as...

In this issue, we discuss SEC Chair Gary Gensler’s statement regarding the recent approval of spot bitcoin exchange-trad...

In this issue, we discuss a recent enforcement action involving an investment adviser and alleged custody rule violations.

In this issue, we discuss recent enforcement actions and litigation involving investment advisers.

Davis Polk partner Greg Rowland recently co-authored a chapter in Global Legal Insight’s Blockchain & Cryptocurrency Law...

In this issue, we discuss the 2024 examination priorities for the SEC’s Division of Examinations.

In this issue, we discuss a risk alert issued by the SEC’s Division of Examinations regarding investment adviser examina...

The amendments broaden the scope of the requirement for registered investment companies and business development companies...

The SEC’s amendments include new requirements related to quarterly statements, private fund audits, adviser-led secondar...