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Best of the Web – May 2016

Best of Web

 

Welcome to the May 2016 “Best of the Web.”  Some provocative questions highlight this month’s BOTW.  K&L Gates asks whether recent criticisms of the SEC are fair or unfair.  SEC3 then inquires whether you are ready for an SEC exam.  Morgan Lewis asks whether independent directors are in the SEC crosshairs.  We have also included some articles about the fiduciary rule and pay-to-play to round out your early summer vacation reading.

 

Recent Criticisms of the SEC: Fair or Unfair? (K&L Gates)

http://www.klgates.com/recent-criticisms-of-the-sec-fair-or-unfair-05-09-2016/

 

Are you ready for your next SEC exam? (SEC3)

http://seccc.com/images/sec-exam-file.pdf

 

Independent Directors: in the SEC’s crosshairs? (Morgan Lewis)

https://www.morganlewis.com/~/media/files/publication/outside%20publication/article/independent-directors-sec_may2016.ashx?la=en

 

Complying on pay-to-play: tips for CCOs (Schulte Roth & Zabel)

https://www.srz.com/resources/complying-on-pay-to-play-tips-for-ccos.html

 

A Fund Manager’s Cyber Security Action Plan (SadisGoldberg)

http://www.sglawyers.com/wp-content/uploads/2016/05/00302614.pdf?lbisphpreq=1

 

FINRA Sweep Letter Regarding Mutual Fund Waivers (ACA)

http://www.acacompliancegroup.com/news/compliance-alert/finra-sweep-letter-regarding-mutual-fund-waivers

 

The Evolution of Marketplace Lending (Dechert)

http://sites.edechert.com/10/6821/may-2016/the-evolution-of-marketplace-lending.asp?sid=99a365af-c777-4862-ac58-19d91ffeda8a

 

The New Fiduciary Rule’s Effect on Investment Managers (Seward & Kissel)

http://www.sewkis.com/pubs/xprPubDetail.aspx?xpST=PubDetail&pub=761

 

The Final Fiduciary Rule: A Plan Sponsor’s Perspective (Groom)

http://www.groom.com/media/publication/1691_The_Final_Fiduciary_Rule_A_Plan_Sponsors_Perspective.pdf

 

SEC Proposes Incentive-Based Compensation Rule: How to Determine Whether Your Firm Will Be Impacted (Ropes & Gray)

https://www.ropesgray.com/newsroom/alerts/2016/May/SEC-Proposes-Incentive-Based-Compensation-Rule-How-to-Determine-Whether-Your-Firm-Will-be-Impacted.aspx

 

Potential Effects of the Proposed Consolidated Audit Trail on Investment Advisers, Broker-Dealers, and Other Market Participants

(Willkie Farr & Gallgher)

http://www.willkie.com/~/media/Files/Publications/2016/05/Potential_Effects_of_the_Proposed_Consolidated_Audit_Trail.pdf