Investment Management

In this issue, we discuss a recent enforcement action involving a private fund adviser that allegedly included misleading ...

In this issue, we discuss the U.S. Court of Appeals decision that struck down the SEC’s new rules and amendments under t...

In a closely watched case, the U.S. Court of Appeals for the Fifth Circuit struck down in its entirety the SEC’s new pri...

In this issue, we discuss proposed customer identification requirements for investment advisers and amendments regarding e...

In this issue, we discuss the SEC Examinations Division’s risk alert regarding compliance with the Advisers Act Marketin...

Davis Polk partner Gregory Rowland and counsel Sarah Kim and Leon Salkin contributed to the seventh edition of Internation...

In this issue, we discuss recent enforcement actions involving investment advisers that allegedly made false and misleadin...

In this issue, we discuss among other things updated FAQs regarding compliance with the marketing rule under the Advisers ...

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...