Searching Content indexed under Compliance by Edward G. Eisert ordered by Published Date Descending.
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SEC Staff Observation From Examinations Of Investment Advisers
On July 23, the SEC Office of Compliance Inspections and Examinations published a Risk Alert on its "Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest."
United States
31 Jul 2019
California Enacts Legislation Requiring Public Investment Funds To Make Disclosures Concerning Fees And Expenses Paid To Private Fund Managers
Governor Jerry Brown approved an amendment to the California Government Code, effective January 1, 2017, that requires a "public investment fund," defined to mean "any fund of any public pension or retirement system..."
United States
28 Sep 2016
FinCEN Proposes Funding Portals Regulations Under Bank Secrecy Act
On April 4, 2016, the Financial Crimes Enforcement Network, a bureau of the Department of the Treasury ("FinCEN"), proposed amendments to the definitions of ''broker or dealer in securities''...
United States
15 Apr 2016
SEC Announces 2016 Examination Priorities
On January 11, the SEC announced its Office of Compliance Inspections and Examinations' (OCIE) 2016 priorities.
United States
25 Jan 2016
SEC Approves Consolidated FINRA Rules 2040 (Payments To Unregistered Persons, Including Foreign Finders)
FINRA Rule 2040 governs the payment of transaction-based compensation by member firms to unregistered persons.
United States
7 Apr 2015
Priorities Focus On Protecting Retail Investors, Assessing Market-Wide Risks And Using Data Analytics
The 2015 examination priorities address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges.
United States
29 Jan 2015
SEC Adopts Rules To Improve Systems Compliance And Integrity Rules To Strengthen Technology Infrastructure Of Securities Markets
On November 19, the Securities and Exchange Commission voted to adopt new rules designed to strengthen the technology infrastructure of the U.S. securities markets.
United States
23 Nov 2014
MSRB Creates Supervision And Compliance Requirements For Municipal Advisors
The Municipal Securities Rulemaking Board received approval from the SEC to create the first new rule for municipal advisors since the SEC released its final registration rule.
United States
31 Oct 2014
FINRA Proposes Lighter Regulatory Regime For Limited Corporate Financing Brokers
FINRA recently issued a Regulatory Notice requesting comment on a Proposed Rule Set for "Limited Corporate Financing Brokers".
United States
24 Mar 2014
ESMA Q&A On Application Of AIFMD
On February 17, the European Securities and Markets Authority published a Q&A paper on the application of the Alternative Investment Fund Managers Directive.
European Union
4 Mar 2014
ESMA Publishes CRA III Regulation Implementation Consultation Paper
On February 11, ESMA published a consultation paper on the implementation of the CRA III Regulation containing draft regulatory technical standards (RTS).
European Union
4 Mar 2014
FCA Publishes EMIR Reporting And Non-Financial Counterparties Factsheets
On February 10, the FCA published two factsheets, both dated February 7, 2014, concerning EMIR.
European Union
3 Mar 2014
Fed Final Rule On Supervision And Regulation Of Bank Holding Companies And Foreign Banks
On February 18, the Fed issued a final rule which establishes enhanced supervision standards for large U.S. bank holding companies and foreign banking organizations.
United States
3 Mar 2014
Final ESMA Guidelines On Key Concepts Of The AIFMD Published
On August 13, the European Securities and Markets Authority (ESMA) published the final version of its guidelines on key concepts of the Alternative Investment Fund Managers Directive (2011/61/EU) (AIFMD) (ESMA/2013/611).
United States
23 Aug 2013
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