By Stephen Wilkes and Seth Gaudreau On April 26, 2023, the U.S. Securities and Exchange Commission (“SEC”) published a Staff Bulletin (the “Bulletin”) reiterating the care obligation standards of...
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SEC’s Proposed Outsourcing Rule Could Be Hardest on Small Advisers
SEC’s Proposed Outsourcing Rule Could Be Hardest on Small Advisers - Marcia Wagner, PLANADVISER, November 2, 2022 (PDF)
November SEC Advertising Rule Compliance Date Fast Approaching
November SEC Advertising Rule Compliance Date Fast Approaching – Seth Gaudreau and Steve Wilkes, PLANADVISER, May 5, 2022 (PDF)
Webinar – Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act Section 13 Reporting for Investment Advisers
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ERISA Considerations In Using Brokerage Window Investing – LAW360
ERISA Considerations In Using Brokerage Window Investing - Law360, March 10, 2022 (PDF)
Stephen P. Wilkes Appointed as Chief Legal Officer of The Wagner Law Group
We are delighted to announce that partner, Stephen P. Wilkes, has been designated as our firm’s Chief Legal Officer. Excellent leadership structure is vital as our firm continues to grow, and Steve...