Aline’s practice focuses on financial services regulatory matters that impact investment advisers, broker-dealers and funds. Aline works with U.S. and non-U.S. investment managers, broker-dealers and funds on matters arising under the Investment Company Act, Advisers Act, CFTC regulations, and FINRA, SEC and NFA requirements affecting their businesses.
By Cheryl Haas, Emily P. Gordy, Aline McCullough and McGuireWoods LLP on Securities and CommoditiesRecent comments from U.S. Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. In Chair Gensler’s remarks, he expressed… Continue Reading
By Aline McCullough, Cheryl Haas, Emily P. Gordy and Molly White on Compliance,Securities and CommoditiesOn March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination priorities. Notably, while the majority of the examination priorities echo OCIE priorities from prior years, this year’s EXAMS priorities include a greater focus on climate-related risk and environmental, social,… Continue Reading