Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights March 24, 2014 Client Update Investment Management Regulatory Update - March 2014 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF IM Guidance Update Clarifies Advisory Fee ... February 24, 2014 Client Update Investment Management Regulatory Update - February 2014 SEC Rules and Regulations SEC Issues Guidance on Rule 506(c) Exemption SEC Issues No-Action Guidance Regarding Definit... January 29, 2014 Client Update SEC Staff Issues Further Guidance on the Proxy “Unbundling” Rule The SEC’s Division of Corporation Finance recently released three Compliance and Disclosure Interpretations concerning t... January 27, 2014 Client Update Investment Management Regulatory Update - January 2014 SEC Rules and Regulations SEC Releases Additional Rule 506 “Bad Actor” Guidance IM Guidance Update Clarifies Exclu... January 14, 2014 Client Update Regulation A+: A Middle Way? A nonpublic company seeking access to the capital markets faces a largely binary choice between conducting a private place... January 7, 2014 Client Update CFTC Issues Cross-Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements Just one day in advance of the December 21, 2013 expiration of the CFTC’s exemptive order delaying the applicability of ... December 23, 2013 Client Update Volcker Rule Final Regulations: Proprietary Trading Flowcharts Davis Polk has prepared a set of flowcharts designed to assist banking entities in identifying permissible and impermissib... December 22, 2013 Client Update CFTC Announces Cross-Border Substituted Compliance Determinations, Provides Limited Phase-In for Some Swap Requirements On Friday, just ahead of the expiration of the CFTC’s exemptive order delaying the applicability of some CFTC swap regul... December 20, 2013 Client Update Investment Management Regulatory Update - December 2013 SEC Rules and Regulations Regulators Adopt Final Regulations Implementing the Volcker Rule SEC Releases Rule 506 “Ba... December 11, 2013 Client Update PCAOB Proposals Would Significantly Impact Public Company Audits Today the public comment period ended for two proposals by the Public Company Accounting Oversight Board that we believe c... Load More
March 24, 2014 Client Update Investment Management Regulatory Update - March 2014 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF IM Guidance Update Clarifies Advisory Fee ...
February 24, 2014 Client Update Investment Management Regulatory Update - February 2014 SEC Rules and Regulations SEC Issues Guidance on Rule 506(c) Exemption SEC Issues No-Action Guidance Regarding Definit...
January 29, 2014 Client Update SEC Staff Issues Further Guidance on the Proxy “Unbundling” Rule The SEC’s Division of Corporation Finance recently released three Compliance and Disclosure Interpretations concerning t...
January 27, 2014 Client Update Investment Management Regulatory Update - January 2014 SEC Rules and Regulations SEC Releases Additional Rule 506 “Bad Actor” Guidance IM Guidance Update Clarifies Exclu...
January 14, 2014 Client Update Regulation A+: A Middle Way? A nonpublic company seeking access to the capital markets faces a largely binary choice between conducting a private place...
January 7, 2014 Client Update CFTC Issues Cross-Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements Just one day in advance of the December 21, 2013 expiration of the CFTC’s exemptive order delaying the applicability of ...
December 23, 2013 Client Update Volcker Rule Final Regulations: Proprietary Trading Flowcharts Davis Polk has prepared a set of flowcharts designed to assist banking entities in identifying permissible and impermissib...
December 22, 2013 Client Update CFTC Announces Cross-Border Substituted Compliance Determinations, Provides Limited Phase-In for Some Swap Requirements On Friday, just ahead of the expiration of the CFTC’s exemptive order delaying the applicability of some CFTC swap regul...
December 20, 2013 Client Update Investment Management Regulatory Update - December 2013 SEC Rules and Regulations Regulators Adopt Final Regulations Implementing the Volcker Rule SEC Releases Rule 506 “Ba...
December 11, 2013 Client Update PCAOB Proposals Would Significantly Impact Public Company Audits Today the public comment period ended for two proposals by the Public Company Accounting Oversight Board that we believe c...