05/27/2022
In order to charge a “material” misrepresentation, the SEC must demonstrate a misstatement or omission that presents a “substantial likelihood” of affecting the decision-making of a reasonable investor in light of the total mix of
05/26/2022
Aims to prevent greenwashing
05/25/2022
An Administrative Law Judge initially rejected the petitioner’s claim for a sales tax refund
05/25/2022
The proposal comes amid increased scrutiny of family offices in the wake of the Archegos Capital Management meltdown.
05/25/2022
Jennifer Choi of the Institutional Limited Partners Association says the regulator’s proposal would be a big step forward, though some issues remain
05/24/2022
Your source for the latest updates from the SEC, DOL and across the industry.
05/24/2022
The SEC’s investigation was conducted by Robert Baker and Michael Moran
05/24/2022
The charges come as investment advisors increasingly use ESG metrics to appeal to investors, according to SEC Enforcement Division Deputy Director Sanjay Wadhwa.
05/23/2022
Our currency, your problem
So said a former U.S. Treasury Secretary in 1971 to other finance ministers struggling with the soaring dollar. 50 years later, the strength of the greenback is again threatening many financial balances around the world.
05/23/2022
The order also found that, beginning in April 2017, Wells Fargo Advisors failed to timely file at least nine additional SARs due to a failure to appropriately process wire transfer data into its AML transaction monitoring system in certain other situation
05/20/2022
Katten Private Wealth Practice Receives Two Law Firm of the Year Awards
Kathryn von Matthiessen and Bonnie Lynn Chmil Also Recognized as Outstanding Individuals
05/19/2022
Protecting the perimeter: The rise of external fraud
05/19/2022
The Carey Olsen team advising Tractian on the Cayman law aspects of the Series A was led by partner Alistair Russell
05/18/2022
AGI US has agreed to pay billions of dollars as part of an integrated, global resolution
05/17/2022
Strategy Provides Roadmap to Close Loopholes Exploited by Criminals and Illicit Actors
05/17/2022
The agency’s authority to craft trade regulation rules covering unfair and deceptive trade practices
05/17/2022
The G7 countries’ undermining of global transparency has further fuelled calls by leading economists for a UN tax convention
05/17/2022
Multidisciplinary team represents Carlyle in acquisition of mission-focused technology solutions and services provider for US defense, intelligence, and federal civilian agencies.
05/17/2022
"The terms of the settlements are substantively fair, providing considerable relief to eligible class members in exchange for the complete resolution of the action,"
05/17/2022
Since Family Offices may be in a position of management, this is a particularly sensitive issue for family office professionals.