Investment Advisory
Practice Areas
Financial Services Litigation & Regulation
Strategic Discovery & Information Management
Looking Forward
We expect that the SEC will continue its focus on the economic relationship between advisers and their clients—especially retail clients. We anticipate that the SEC will scrutinize disclosures regarding conflicts of interests, paying particular attention to the sources of revenue that advisers, and their affiliated entities, receive in connection with advised accounts. We also anticipate that the SEC will provide advisers with feedback regarding their Form CRS filings.
After an initial pause in the first quarter of 2020, the pace of recruiting has resumed and appears in line with pre-pandemic activity. We expect this trend to continue into 2021.