Partner, John Grady’s Interview on NASDAQ Trade Talks

Practus LLPLegal Insights, Practus News

NASDAQ TRADE TALKS PROMO

Watch John Grady Share Legal Insights to NASDAQ Trade Talks John Grady on Alternative Investments, Semi-transparent ETFs & ESG funds Practus Partner, John Grady sits down with NASDAQ Trade Talks Global Markets Reporter, Jill Malandrino.  John discusses the latest developments impacting institutional and retail investors, including semi-transparent ETFs and ESG funds.  His experience as a lawyer and as a business … Read More

Pressure Mounts on SEC to Set Standards

Rick PasquierLegal Insights, Practus NewsLeave a Comment

hands holding digital globe

Pressure Mounts on SEC to Set Standards for “Environmental, Social, Governance” Corporate Disclosure and Fund Investment Styles What Can We Expect? Before I joined Practus LLP, I served for 18 years as in-house counsel to leading global firms in the chemical industry.  Over the years I was struck by the great number of products and technologies that were pitched as … Read More

Read Ethan Corey’s Article in the May edition of The Investment Lawyer

Ethan CoreyLegal Insights, Practus NewsLeave a Comment

the investment lawyer page screenshot of heading and intro

The Investment Lawyer:  Covering Legal and Regulatory Issues of Asset Management Prospectus Delivery Obligations, Regulation Best Interest and the Buried Facts Doctrine: Has the SEC Changed the Time When Prospectuses Must Be Delivered? The SEC’s Regulation Best Interest will require a broker-dealer to provide a retail customer with information about the material fees and cost the customer will incur and … Read More

Four New Team Members Join Practus

Practus LLPPractus News

New York For over 30 years, Bob has developed a thorough knowledge of state insurance law, regulation, and how to maximize the top and bottom-line contributions of a life insurer’s business units. Having spent half his career as an insurance lawyer and the other half as a client, Bob offers a unique perspective on legal issues coupled with a clear … Read More

2020 Starting Line Event Hosted by Philadelphia Team

Practus LLPLegal Insights, Practus NewsLeave a Comment

More than 50 financial advisers, fund managers, accountants, and attorneys attended an educational and networking event co-sponsored by Practus, LLP and accounting firm BBD LLP last month, with support from the Chartered Alternative Investment Analyst Association (CAIA).  Partners Robert Elwood, John Grady, and John Ramírez spoke about topics related to funds, taxes, advisers, and brokers that will be important in … Read More

Ethan Corey’s September Article In The Investment Lawyer

Practus LLPLegal Insights, Practus NewsLeave a Comment

investment lawyer screenshot the dog that didn't bark title

“The Dog That Didn’t Bark: Investment Research, Hard Dollars and Special Compensation under the Investment Adviser Act of 1940” On October 26, 2017, the SEC staff issued three no-action letters intended to facilitate the ability of registered investment advisers and broker-dealers to comply both with the requirements of the Investment Advisers Act of 1940 (Advisers Act) and with the requirements … Read More