Derek N. Steingarten

SEC Examinations and Enforcement Update for Registered Investment Advisers: Transparency for SEC Exams, Marketing Rule Sweep, and More Custody Scrutiny

SEC Adoption of Current Reporting and Other Amendments to Form PF

The SEC Expands Focus on Cybersecurity Risk to Include Registered Advisers, Broker‑Dealers, and other Market Participants

New SEC Rules and Amendments Shorten the Standard Securities Transaction Settlement Cycle to T+1

SEC Division of Examinations’ 2023 Exam Priorities – A Continued Focus on Private Funds, Regulation Best Interest, ESG, and Crypto

SEC Staff Reminder About Advisory Fee Cross-Subsidization Concerns

Experts Warn Firms About SEC Exam Priorities

Investment Adviser Compliance Index

MoFo Advises Rothschild & Co on the Sale of its North American Asset Management Business to Wintrust Financial Corp

Experienced RIA Acquirers are Having an Excellent Year

Generational Shifts Along with Increasing Regulations Pushes More RIA M&A

MoFo Hires 8th Corporate Partner in 7 Months

2023 Investment Management Conference