Blog & News

Navigating the FTC’s Final Rule Banning Non-Compete Clauses

Navigating the FTC’s Final Rule Banning Non-Compete Clauses

Delve into the implications of the FTC's Final Rule banning non-compete clauses with this comprehensive article. Explore the prohibitions, exceptions, ongoing legal challenges, employer considerations, and key takeaways. LawVisory offers alternative strategies to ensure compliance with the new law.

Signs You Need a Compliance Review and What to Expect

Signs You Need a Compliance Review and What to Expect

Discover the signs that indicate your firm needs a compliance review and explore what to expect from the process. Learn why regular compliance reviews are essential for RIAs to ensure regulatory adherence, mitigate risks, and maintain operational efficiency.

Why SEC Compliance is Critical for Registered Investment Advisers

Why SEC Compliance is Critical for Registered Investment Advisers

Learn why SEC compliance is crucial for Registered Investment Advisers (RIAs). Explore the importance of adherence to SEC regulations for investor protection, trust, legal responsibility, and competitive advantage. Discover the ramifications of non-compliance and the significance of regular compliance reviews for maintaining operational efficiency and building a culture of compliance.

Understanding the Latest Amendments to Rule 2a-7 for Money Market Funds

Understanding the Latest Amendments to Rule 2a-7 for Money Market Funds

Explore the latest amendments to Rule 2a-7 impacting money market funds and registered investment advisers. Learn about increased liquidity standards, removal of redemption restrictions, mandatory liquidity fees, reverse distribution mechanisms, and enhanced reporting requirements.

Strengthening Cybersecurity Disclosure: SEC’s New Regulations Explained

Strengthening Cybersecurity Disclosure: SEC’s New Regulations Explained

Delve into the SEC's new regulations on cybersecurity disclosure, impacting businesses and registered investment advisers. Explore enhanced cybersecurity disclosures, risk management strategies, governance requirements, reporting material incidents, and obligations for foreign private issuers.

SEC’s Repurchase Rule: Amendments, Legal Challenges, and SEC Response

SEC’s Repurchase Rule: Amendments, Legal Challenges, and SEC Response

Delve into the SEC's recent amendments to the Repurchase Rules and the ensuing legal challenges, including the U.S. Court of Appeals for the Fifth Circuit's review and the SEC's response to identified defects in the rule.

SEC Expands Names Rule: Key Amendments and Implications

SEC Expands Names Rule: Key Amendments and Implications

Dive into the SEC's expanded Names Rule amendments impacting investment funds, including the 80% investment policy requirement, portfolio review mandates, Form N-PORT reporting, derivatives usage, and shareholder notice obligations.

SEC Charges Investment Advisers for Marketing Rule Violations: Settlement Details Revealed

SEC Charges Investment Advisers for Marketing Rule Violations: Settlement Details Revealed

Explore the SEC's actions against nine registered investment advisers for Marketing Rule violations, revealing charges, violation findings, and settlement terms.

SEC Amends Regulation 13D: Key Changes in Beneficial Ownership Reporting

SEC Amends Regulation 13D: Key Changes in Beneficial Ownership Reporting

Learn about the SEC's recent amendments to Regulation 13D, impacting beneficial ownership reporting requirements. Understand the key changes and their implications for registered investment advisers and market participants.

SEC Adopts Rule 13f-2: Enhancing Transparency in Short Selling Reporting

SEC Adopts Rule 13f-2: Enhancing Transparency in Short Selling Reporting

Explore the SEC's adoption of Rule 13f-2 to improve transparency in short selling reporting, requiring institutional investment managers to disclose short sale data via Form SHO.

Navigating Compliance with the SEC’s Marketing Rule in Light of Many Enforcement Actions: A Must-Read for Registered Investment Advisers

Navigating Compliance with the SEC’s Marketing Rule in Light of Many Enforcement Actions: A Must-Read for Registered Investment Advisers

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Navigating SEC Examinations: Insights from the Risk Alert

Navigating SEC Examinations: Insights from the Risk Alert

Gain valuable insights on SEC examinations and regulatory standards for investment advisers in the latest Risk Alert. Understand how the SEC Division of Examinations selects targets, determines examination scope, and requests documents.

Enhancing Investor Protection: SEC’s Proposal for Predictive Analytics Rule

Enhancing Investor Protection: SEC’s Proposal for Predictive Analytics Rule

Explore the SEC's proposed "Predictive Analytics Rule" aimed at safeguarding investor interests amidst technological advancements. Understand the key updates and implications for registered investment advisers.

Embracing Digital Evolution Proposed Amendments for Internet Advisers

Embracing Digital Evolution Proposed Amendments for Internet Advisers

Understand the SEC's proposed amendments to Rule 203A-2(e) focusing on cybersecurity disclosure in investment advisory services. Learn about the key updates affecting registered investment advisers.

Demystifying SEC Form ADV: A Guide for Investors

Demystifying SEC Form ADV: A Guide for Investors

Unlock the mysteries of SEC Form ADV with our comprehensive guide. From its definition to filing requirements, learn how this crucial document impacts your investment decisions.

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