WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule

WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule

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WilmerHale’s Investment Management Group provides sophisticated legal and regulatory advice to investment advisers, private fund sponsors, registered funds, and their independent trustees.
WilmerHale has a record of success at all stages of enforcement proceedings—from informal inquiries to litigation.
WilmerHale has defended clients in hundreds of class, derivative, shareholder and individual actions alleging securities fraud, breach of fiduciary duty and other corporate misconduct.
WilmerHale’s Gretchen Passe Roin, Timothy Silva and Seth Davis authored this Investment Lawyer article discussing a recent risk alert by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, in connection with the Cash Solicitation Rule, which is designed to “notify prospective advisory clients that the person recommending the adviser (that is, the solicitor) has a financial incentive to make the referral.”

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