The Year In Review: SEC Enforcement Actions Against Investment Advisers

• Conflicts of Interest
• Fees and Allocations of Expenses
• Trade Allocation Practices
• Best Execution
• Principal Trades and Agency Cross Trades
• Insider Trading
• Valuation of Securities
• Disclosures Related to Performance, Assets Under Management, and the Adviser’s Background
• And more!

Financial Regulatory Reform in the Trump Era

• U.S. Financial Regulatory Reform
• Volcker Rule
• Private Equity Fund Advisers
• Fiduciary Duty Legislation
• And more!