Article 14 Jun 2018 Separately Managed Accounts – SEC Resolves One "Inadvertent Custody" Ambiguity United States Finance
Article 06 Apr 2017 Separately Managed Accounts – SEC Provides Guidance On "Inadvertent" Custody And Reliance On Standing Letters Of Authorization United States Commercial
Article 14 Jan 2017 CFTC Adopts Amended Position Limit Aggregation Rules – Action by Asset Managers May Be Required United States Finance
Article 25 Oct 2016 New FINRA Capital Acquisition Broker Rule Set May Be Of Interest To Private Fund Sponsors United States Finance
Article 21 Oct 2016 SEC Approves FINRA Rules Addressing "Pay-to-Play" Practices United States Finance
Article 18 Jul 2016 FCA Proposals To Extend Reporting Requirements For Non-EU AIFMS European Union Finance
Article 07 Jul 2016 SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity And Transition Plans United States Finance
Article 08 Jun 2016 SEC Settles With Private Equity Fund Adviser Charged With Acting As An Unregistered Broker United States Commercial
Article 17 May 2016 SEC Proposes Incentive-Based Compensation Rule: How To Determine Whether Your Firm Will Be Impacted United States Finance