Bo Howell’s Post

Lessons from SEC Enforcement Actions Against Merrill Lynch and Harvest Volatility The SEC’s recent enforcement actions highlight the critical importance of aligning business practices with fiduciary obligations and disclosures. In our latest post, we cover: 🔹 Key takeaways from these cases 🔹 Common pitfalls for investment advisers and DeFi projects 🔹 Practical steps to ensure compliance and protect client trust Don’t let misaligned practices lead to costly consequences. Stay ahead with these vital compliance insights. 🔍📈 👉 https://zurl.co/zXdG #SECEnforcement #ComplianceMatters #FiduciaryDuty #InvestmentAdvisers #Transparency #FinancialRegulation #FinTechLaw

Navigating securities law? Stagg Wabnik Law Group offers expert representation for national financial services firms, banks, broker-dealers, and hedge funds. Our team is skilled in addressing FINRA enforcement inquiries and employment disputes within the securities industry. 📈💼 Learn more at https://lnkd.in/eBfq5mrx #SecuritiesLaw #FINRA #LegalServices #BrokerDealer #InvestmentLaw

The latest edition of The Securities Litigation & Regulatory Report - December 1, 2024, includes recent developments regarding securities litigation and regulatory activity. #securitieslitigation #securitiesregulation #FINRA #SEC https://lnkd.in/eg8hn8dZ

📊 Ensuring Fair Valuations for Level 3 Assets 📊 Valuing Level 3 assets, like illiquid securities and private investments, demands precision and transparency. In our latest post, we explore essential practices for investment advisers to: 🔹 Enhance valuation analysis 🔹 Strengthen compliance with SEC regulations 🔹 Build investor trust through transparent reporting Don’t let valuation errors impact your firm’s reputation. Read more for insights on safeguarding your valuation processes and staying compliant. 📈🔍 👉https://zurl.co/oPMw #FairValuations #Level3Assets #FinancialCompliance #AssetManagement #InvestmentAdvisers #SECCompliance #Transparency #InvestorTrust

Practising Law Institute (PLI) is pleased to announce the 56th Annual Institute on Securities Regulation. The Institute on Securities Regulation brings together the nation’s leading securities and corporate legal experts to deliver practical information, insights and real-world strategies and solutions to the challenges facing you and your clients today. Find out more here: https://lnkd.in/eXpaX_Zn #securitieslitigation #mergerandacquisitions #SEC #ESGclimate

The Importance of Selection of Experienced Counsel FINRA securities arbitration is the forum for the resolution for most disputes between customers, financial service professionals and financial institutions. The retention of an experienced counsel and law firm is a critical step, a decision that should be made with great care. https://lnkd.in/gq-d5Gr9 #experiencedcounsel #bhseclaw #FINRAarbitration

📊 Ensuring Fair Valuations for Level 3 Assets 📊 Valuing Level 3 assets, like illiquid securities and private investments, demands precision and transparency. In our latest post, we explore essential practices for investment advisers to: 🔹 Enhance valuation analysis 🔹 Strengthen compliance with SEC regulations 🔹 Build investor trust through transparent reporting Don’t let valuation errors impact your firm’s reputation. Read more for insights on safeguarding your valuation processes and staying compliant. 📈🔍 👉https://zurl.co/lj1M #FairValuations #Level3Assets #FinancialCompliance #AssetManagement #InvestmentAdvisers #SECCompliance #Transparency #InvestorTrust

"Uncover the Truth: Securities Cases Explained with The Law Offices of Howard G Smith 📈💼 Delve into securities law's complexities with our seasoned legal experts. From safeguarding investor interests to navigating regulatory frameworks, we're dedicated to ensuring transparency and integrity in financial markets. Explore our comprehensive legal services and gain valuable insights into securities litigation at www.howardsmithlaw.com .. .. .. .. #SecuritiesLaw #InvestorProtection #LegalInsights #MarketIntegrity #CorporateGovernance #HowardGSmith #LegalExperts #FinancialNews #InvestorRights #LegalAdvice #SecuritiesFraud #StockMarket #LegalServices #MarketRegulation #FinancialMarkets #LegalCounsel #SecuritiesLitigation #RegulatoryCompliance #FinancialTransparency"

When an investment advisor is involved in an action for breach of fiduciary duty, negligence, breach of contract or common law fraud, how would matters of discovery be impacted under a proposed FinCEN rule? Our Jessica Kopas explains the big picture for investment advisors in our latest DE Insight. #investmentadvisors #investmentadvisor #fincen #SEC #DEinsights https://lnkd.in/eU4PRyUU

Olshan Frome Wolosky LLP litigation partner John Moon and corporate partner Ken Silverman authored an article in Bloomberg Law entitled “SEC Enforcement Sweep Shows It Takes Reporting Failures Seriously.” In the article, John and Ken discuss the U.S. Securities and Exchange Commission’s (SEC) recent settlement with 11 institutional investment managers, highlighting a potential shift toward stricter enforcement of Form 13F violations. They explain the implications of these settlements for foreign and domestic investment managers, shedding light on the importance of compliance with U.S. reporting requirements, and emphasize the SEC's renewed focus on Forms 13F and 13H reporting obligations, which demand increased attention from large institutional investors operating in U.S. capital markets. They also highlight the SEC’s lenience towards those delinquent filers that self-reported their violations and cooperated with the SEC’s investigation. "Regardless where an investor and their broker-dealer are physically located, the SEC maintains jurisdiction if they invest in US capital markets," John and Ken note. They explain that the SEC’s cross-border enforcement sends a strong message to the international investment community to remain diligent about regulatory filings. #OlshanLaw #BloombergLaw #SECLaw #InvestmentCompliance #ForeignInvestors #CorporateLaw #Compliance https://lnkd.in/eiMyzdqi