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Attorney-Client Privilege

The pressure being on key-person clauses, the fallout from the GameStop caper, the SEC's new valuation and ad rules, why limited partners see green in ...
The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...
If “done incorrectly,” a compliance consultant’s work “can inadvertently chart a detailed course for SEC enforcement staff to air” a firm’s “‘dirty laundry’"
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be ...
The Securities and Exchange Commission (“Commission”) is adopting amendments to its Rules of Practice. These changes concern, among other things, the timing of hearings in ...
This is a guide to SEC regulation of written and shared with permission of Robert Plaze, a partner with Stroock & Stroock & Lavan in ...
There’s nothing in the Advisers Act that would prohibit one from serving both as her firm’s general counsel and CCO. But wearing the two hats ...
This document, shared with permission of author David Marshall of Katz Marshall & Banks in Washington, D.C., is designed to explain how the SEC's whistleblower ...
Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watch, Aug. 11, ...
If your firm hands the responsibility of conducting internal compliance investigations to a general counsel or other in-house lawyer, you may well have grounds to ...
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