Asset Management ADVocate
Asset Management ADVocate
The Asset Management ADVocate provides unique analysis and insight into legal developments affecting asset managers in the United States. Subscribe 🡢
SEC Staff and Chair Talk Examination Priorities (For the Time Being At Least)
The State of the SEC’s Admissions Policy: Three Years Later
Could Blockchain Push Syndicated Loans over the Regulatory Edge?
What Hath FSOC Wrought?
SEC Enforcement Staff Touts Year of Firsts and Big Data
Last week, at the Securities Enforcement Forum in Washington, DC, senior staff of the SEC's Division of Enforcement shed light on risks that asset managers and fund boards should be aware of. Their comments followed a record enforcement year resulting in more than $4 billion in disgorgement and penalties. Fueled in part by data col