Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights November 6, 2017 Client Update SEC Issues Three No-Action Letters to Facilitate Cross-Border Implementation of MiFID II's Research Provisions On October 26, 2017, the Division of Investment Management and the Division of Trading and Markets of the SEC issued three... October 31, 2017 Client Update Investment Management Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in... October 18, 2017 Client Update Tighter UK Foreign Investments Rules on the Horizon On 17 October 2017, the UK Department for Business, Energy & Industry Strategy published a Green Paper setting out the UK ... October 11, 2017 Client Update Review of Volcker Rule Comment Letters The Office of the Comptroller of the Currency (the “OCC”) took a first formal step in evaluating how the regulations i... September 29, 2017 Client Update Investment Management Regulatory Update - September 2017 Industry Update SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendmen... August 31, 2017 Client Update Investment Management Regulatory Update - August 2017 Rules and Regulations SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms SEC’s Acting Direct... August 4, 2017 Client Update The Countering America’s Adversaries Through Sanctions Act Becomes Law On August 2, 2017, President Trump signed into law the Countering America’s Adversaries Through Sanctions Act of 2017 (t... July 28, 2017 Client Update Investment Management Regulatory Update - July 2017 Rules and Regulations SEC Updates Form ADV Frequently Asked Questions Interacting with Retirement Investors under the ... June 26, 2017 Client Update Investment Management Regulatory Update - June 2017 Rules and Regulations SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State ... June 21, 2017 Articles & Books Allocating Fees and Expenses: The SEC Is Paying Close Attention In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Ex... Load More
November 6, 2017 Client Update SEC Issues Three No-Action Letters to Facilitate Cross-Border Implementation of MiFID II's Research Provisions On October 26, 2017, the Division of Investment Management and the Division of Trading and Markets of the SEC issued three...
October 31, 2017 Client Update Investment Management Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in...
October 18, 2017 Client Update Tighter UK Foreign Investments Rules on the Horizon On 17 October 2017, the UK Department for Business, Energy & Industry Strategy published a Green Paper setting out the UK ...
October 11, 2017 Client Update Review of Volcker Rule Comment Letters The Office of the Comptroller of the Currency (the “OCC”) took a first formal step in evaluating how the regulations i...
September 29, 2017 Client Update Investment Management Regulatory Update - September 2017 Industry Update SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendmen...
August 31, 2017 Client Update Investment Management Regulatory Update - August 2017 Rules and Regulations SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms SEC’s Acting Direct...
August 4, 2017 Client Update The Countering America’s Adversaries Through Sanctions Act Becomes Law On August 2, 2017, President Trump signed into law the Countering America’s Adversaries Through Sanctions Act of 2017 (t...
July 28, 2017 Client Update Investment Management Regulatory Update - July 2017 Rules and Regulations SEC Updates Form ADV Frequently Asked Questions Interacting with Retirement Investors under the ...
June 26, 2017 Client Update Investment Management Regulatory Update - June 2017 Rules and Regulations SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State ...
June 21, 2017 Articles & Books Allocating Fees and Expenses: The SEC Is Paying Close Attention In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Ex...