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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by K&L Gates ordered by Published Date Descending.
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Amendments To Form ADV: Practical Considerations
Beginning on October 1, 2017, all investment advisers filing Form ADV must use an amended version of Part 1A of the Form that contains several new and revised items.
United States
4 Oct 2017
2
Chancery Court Denies Motion To Dismiss And Allows Derivative Suit Against Board Members To Continue
In H&N Management Group, Inc. & Aff Cos Frozen Money Purchase Plan v. Robert M. Couch et al., No. 12847-VCMR (Del. Ch. Ct. August 1, 2017), the Court of Chancery denied defendants' motion to dismiss and ...
United States
6 Sep 2017
3
OCIE Observations From The Second Round Of Cybersecurity Examinations
On August 7, 2017, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations released a risk alert summarizing observations from the second round of cybersecurity sweep examinations ...
United States
22 Aug 2017
4
MiFID II Toolkit For Global Investment Managers
This Toolkit summarizes several key aspects of MiFID II that may impact the trading activities and other operations of global investment managers with offices or clients in the EU.
European Union
28 Jul 2017
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