Article
14 Jun 2018
Separately Managed Accounts – SEC Resolves One "Inadvertent Custody" Ambiguity
AUTHORS CONTENT
Article
06 Apr 2017
Separately Managed Accounts – SEC Provides Guidance On "Inadvertent" Custody And Reliance On Standing Letters Of Authorization
Article
14 Jan 2017
CFTC Adopts Amended Position Limit Aggregation Rules – Action by Asset Managers May Be Required
Article
25 Oct 2016
New FINRA Capital Acquisition Broker Rule Set May Be Of Interest To Private Fund Sponsors
Article
21 Oct 2016
SEC Approves FINRA Rules Addressing "Pay-to-Play" Practices
Article
18 Jul 2016
FCA Proposals To Extend Reporting Requirements For Non-EU AIFMS
Article
12 Jul 2016
Amended FINRA Rule Will Require Margin For TBA Transactions
Article
07 Jul 2016
SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity And Transition Plans
Article
08 Jun 2016
SEC Settles With Private Equity Fund Adviser Charged With Acting As An Unregistered Broker
Article
17 May 2016
SEC Proposes Incentive-Based Compensation Rule: How To Determine Whether Your Firm Will Be Impacted
Article
16 May 2016
Update: Proposed Rules Will Limit Buy-Side Remedies In A Financial Institution Failure
Article
11 Jan 2016
SEC Proposes New Rule Concerning Registered Funds' Use Of Derivatives
Article
30 Dec 2015
Common Reporting Standards Come Into Effect For Many Offshore Funds On January 1, 2016
Article
16 Dec 2015
Gramm-Leach-Bliley Act Amendment Eliminates Annual Privacy Notice Requirement For Many Advisers And Funds
Article
10 Nov 2015
Partnership Audit Reform Passed Into Law
Article
03 Nov 2015
U.S. Banking Regulators Finalize Minimum Margin Requirements For Uncleared Swaps
Article
21 Sep 2015
SEC's OCIE Risk Alert Announces New Cybersecurity Exam Initiative – Focus Includes Conducting Tests Of Efficacy Of Firm's Procedures And Controls
Article
18 Sep 2015
BEA Releases New BE-180 Form And Related Guidance In Advance Of Upcoming Deadline
Article
28 Aug 2015
FinCEN Rule Proposes AML Regulations For Registered Investment Advisers
Article
02 Jun 2015
SEC Proposes Amendments To Form ADV And Recordkeeping Rule