US: The Year In Review of SEC Enforcement Actions Against Investment Advisers
Click to access GE_Alert_1282016.pdf 0
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Switzerland: Banks liability in relation to external asset managers
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US: Florida court case on negligence and “aiding and abetting fraud” for banks
www.foley.com/florida-banks-beware-of-eleventh-circuit-decision-implications-11-21-2016/ 0
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US: FCA imposes £ 17.6 million fine on Investment Adviser for Mismanagement of conflict of interest
www.proskauer.com/publications/client-alert/fca-imposes-176-million-fine-on-investment-adviser-for-mismanagement-of-conflicts-of-interest/ 0
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