Eversheds Sutherland Regulatory

Reform Task Force -

Roadmaps              

For Investment Advisers


Roadmaps and Summaries on the key provisions and regulatory rulemakings impacting investment advisers can be found below for each relevant title: 

Roadmaps Summaries
Title IV Title IV
SEC Title VII Title IX
Title IX  

 

 

News and Legal Alerts

Sutherland Launches SharpeFundsLaw Blog
September 4, 2014

Legal Alert: SEC Publishes 2014 Examination Priorities for Investment Advisers
January 17, 2014

Legal Alert: Recent Regulatory Developments Affecting Private Offerings
December 9, 2013

Legal Alert: CFTC Issues Highly Anticipated Harmonization Rules
August 13, 2013

Sutherland Forms Response Team to Help Clients Address Whistleblower Claims in 2012
December 21, 2011

Legal Alert: SEC Adopts Extensive Changes to Investment Adviser Regulatory Scheme as Mandated by the Dodd-Frank Act
June 23, 2011

While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry

Broker-Dealers, Fiduciary Duties and Enhanced Conduct Standards Under the Financial Reform Act
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry

Legal Alert: New Whistleblower Protections for Financial Service Employees
October 1, 2010

The Playing Field: The Dodd-Frank Reform Bill Afterlife
September 1, 2010

Does a Statutory Fiduciary Duty Mean a More Substantive Fiduciary Duty? What the Future May Hold
August 2010 Reprinted with permission IAA Newsletter

Past Events

The New Regulatory Environment
October 1, 2013 | 3rd Annual Real Estate General Counsel Forum (East)

Whistleblower Initiatives: Implementing the SEC's Bounty Program | presentation slides
June 22, 2011

Podcast - Whistleblower Initiatives: What You Need to Know 
January 26, 2011

ALI-ABA - Dodd-Frank Financial Reform and its Impact on the Securities Industry
October 8, 2010

The Fiduciary Forum 2010
September 24, 2010

Dodd-Frank and the New Regulatory Regime for Advisers
September 21, 2010

Fiduciary Duty Forum
July 28, 2010

Envestnet Webinar - Exploring the Fiduciary Opportunity
July 27,2010

The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation
October 8-9, 2009

Investment Advisers: The Changing Regulatory Landscape
September 21, 2009

Investment Adviser Roundtable: 2009 Industry and Regulatory Outlook
January 14, 2009

Contacts

Clifford E. Kirsch +1.212.389.5052 CliffordKirsch@eversheds-sutherland.com
Michael B. Koffler +1.212.389.5014 MichaelKoffler@eversheds-sutherland.com

 

Other Resources

Legislative Benchmarks
November 19, 2009:
Regulatory Reform, markup, The Senate Banking Committee, on the Dodd bill entitled, "The Restoring American Financial Stability Act of 2009." 

October 22, 2009:
Regulatory Reform, markup, House Financial Services Committee, on the following bills:  H.R. 3818, the Private Fund Investment Advisers Registration Act of 2009; H.R. 3817, the Investor Protection Act of 2009; H.R. 2609, the Federal Insurance Office Act of 2009; and the Accountability and Transparency in Rating Agencies Act of 2009, which remains in discussion draft.

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