United States: SEC Sanctions Adviser For Overcharging Management Fees - Cadwalader, Wickersham & Taft LLP

Mondaq

28 Oct 2020 0 shares 1 views

Mondaq

Published 28 Oct 2020

The SEC sanctioned a private equity fund adviser for overcharging management fees to a fund that it managed.

United States: Federal Register: SEC Adopts Additional Requirements To Publish Quotations On OTC Securities - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Oct 2020

The amendments will go into effect on December 28, 2020, but an additional period will be allowed for issuers and broker-dealers to..

Mondaq 28 Oct 2020

In a joint request for comment, the SEC and CFTC solicited feedback on possible methods for implementing portfolio margining of..