Publications of Interest > Investment Advisers > Investment Management > Practices : Morgan, Lewis & Bockius

03/31/10 Supreme Court Affirms Gartenberg Standard in Unanimous Decision in Jones v. Harris Associates L.P.

LawFlash/Client Alert | Investment Management FYI
Timothy Levin, Kathleen Long, Sean Graber, Christian Mixter, Christopher Menconi

On March 30, the U.S. Supreme Court, in a unanimous decision in Jones v. Harris Associates L.P. , affirmed the standard as articulated by the Second Circuit Court of Appeals in 1982 in Gartenberg v. Merrill Lynch more

01/12/10 Floor Amendments to House Legislation Clarify Small Fund Adviser Exception and Increase Protection of Proprietary Information

LawFlash/Client Alert | Private Investment Funds LawFlash
John O'Brien

Amendments to the Wall Street Reform and Consumer Protection Act of 2009, which were made during recent consideration and debate on the floor of the U.S. House of Representatives (the House), clarify the proposed exemption from ... more

01/07/10 Legislation Passed by House Would Require Most Private Fund Advisers to Register with SEC

LawFlash/Client Alert | Private Investment Funds LawFlash
John O'Brien

The U.S. House of Representatives (House) recently passed legislation with proposed amendments to the Investment Advisers Act of 1940, as amended (Advisers Act) that would effectively require many investment advisers to private ... more

01/07/10 SEC Adopts Amendments to Advisers Act Custody Rule

LawFlash/Client Alert | Investment Management FYI
Ethan Johnson, Monica Parry, Jennifer Klass

On December 30, 2009, the Securities and Exchange Commission (SEC) adopted amendments to the custody rule under the Advisers Act of 1940 (the Custody Rule) designed to strengthen controls over the custody of client assets by reg... more

June 2009 The Madoff “Opportunity”: Harmonizing the Overarching Standard of Care for Financial Professionals Who Give Investment Advice, Wall Street Lawyer, Vol. 13, Issue 6

Outside Publication | Article
Steven Stone

05/20/09 Re-Assessing Risk and the Annual Review in Current Market Conditions, presented as an IAA webcast

Presentation | Speech
Monica Parry

06/25/08 National Financial Risk and Regulatory Client Webinar: Proposed Regulation S-P Amendments

Presentation | Webinar
Steven Stone

05/23/07 How Investment Firms Manage and Disclose Conflicts: What Do Regulators Expect?, presented at the Alliance Bernstein Subadvisory Compliance Conference, New York

Presentation | Speech
Steven Stone

05/17/07 Wrap/SMA Accounts: New Developments and Compliance Issues, presented to the Investment Adviser Association, Washington, D.C.

Presentation | Speech
Steven Stone

01/26/06 International SMA Developments - A Legal & Regulatory Framework, presented at the MMI 2006 Sales & Marketing Leadership Summit

Presentation | Speech
Steven Stone