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Navigating the SEC's Marketing Rule: Compliance Challenges and Legal Insights
The Securities and Exchange Commission (SEC) has underscored the critical importance of its Marketing Rule compliance through a series of recent enforcement actions and risk alerts. This article delves into the challenges that investment advisers must navigate when marketing their services. It also explores how legal counsel and compliance consultants can effectively support their clients in adhering to both the explicit requirements and nuanced aspects of the Marketing Rule.Ex-Girardi Keese CFO Christopher Kamon, Shackled and Sniffing, Pleads Guilty
Christopher Kamon, 51, pleaded guilty to felony charges that he stole funds from Girardi Keese's operating accounts and conspired with founder Tom Girardi to embezzle at least $15 million in client funds.View more book results for the query "White Case"
People in the News—Oct. 11, 2024—Messa & Associates, Bochetto & Lentz
Messa & Associates announced that its team is growing with the addition of Zachary A. Zawrotny.Litigator of the Week Runners-Up and Shout-Outs
Runners-up this week include litigators from Sullivan & Cromwell, MoloLamken and Wilkinson Stekloff.GCs Face Peril as Foreign Bribery Probes Second-Guess 'Routine' Advice
"Very often, companies don't even realize that they are interacting with state-owned entities or third-party intermediaries with links to local government,"said Snežana Gebauer, a partner at StoneTurn.A Reporter and a Mayor: Behind the Scenes During the Eric Adams Indictment News Cycle
One reporter's peek inside the 48 hours surrounding the indictment of New York City Mayor Eric Adams on charges including wire fraud, solicitation of contributions from foreign nationals and bribery.A Reporter and a Mayor: Behind the Scenes During the Eric Adams Indictment News Cycle
One reporter's peek inside the 48 hours surrounding the indictment of New York City Mayor Eric Adams on charges including wire fraud, solicitation of contributions from foreign nationals and bribery.Trending Stories
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