Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights December 11, 2013 Client Update SEC Issues Guidance on Rule 506 “Bad Actor” Provisions On December 4, 2013, the Division of Corporate Finance of the Securities and Exchange Commission (the “SEC”) issued Co... November 26, 2013 Client Update Investment Management Regulatory Update - November 2013 SEC Rules and Regulations IM Guidance Update Clarifies Stance on Aggregating the Investments of Certain Investors Acros... November 18, 2013 Client Update CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards On November 5, 2013, the Commodity Futures Trading Commission proposed rules to establish new position limits that would a... October 22, 2013 Client Update Investment Management Regulatory Update - October 2013 SEC Rules and Regulations SEC Focused on Violations of Rule 105 of Regulation M IM Director Discusses Current Prioriti... September 26, 2013 Client Update Investment Management Regulatory Update - September 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC, FINRA and CFTC Release Joint Observations... September 9, 2013 Client Update CFTC Adopts Final Harmonization Rules for Commodity Pool Operators On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted final regulations designed to harmonize ... August 20, 2013 Client Update Investment Management Regulatory Update - August 2013 SEC Rules and Regulations SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with ... August 8, 2013 Client Update European Regulatory Snapshot: Remuneration in the Financial Services Industry The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted ... July 18, 2013 Client Update Investment Management Regulatory Update - July 2013 SEC Rules and Regulations SEC Adopts Rules to Eliminate General Solicitation Ban and Proposes other Private Offering R... July 10, 2013 Client Update SEC Adopts Private Offering Reforms Mandated by JOBS Act Today the SEC adopted amendments to its private offering safe harbors as mandated by the JOBS Act of 2012. These amendment... Load More
December 11, 2013 Client Update SEC Issues Guidance on Rule 506 “Bad Actor” Provisions On December 4, 2013, the Division of Corporate Finance of the Securities and Exchange Commission (the “SEC”) issued Co...
November 26, 2013 Client Update Investment Management Regulatory Update - November 2013 SEC Rules and Regulations IM Guidance Update Clarifies Stance on Aggregating the Investments of Certain Investors Acros...
November 18, 2013 Client Update CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards On November 5, 2013, the Commodity Futures Trading Commission proposed rules to establish new position limits that would a...
October 22, 2013 Client Update Investment Management Regulatory Update - October 2013 SEC Rules and Regulations SEC Focused on Violations of Rule 105 of Regulation M IM Director Discusses Current Prioriti...
September 26, 2013 Client Update Investment Management Regulatory Update - September 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC, FINRA and CFTC Release Joint Observations...
September 9, 2013 Client Update CFTC Adopts Final Harmonization Rules for Commodity Pool Operators On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted final regulations designed to harmonize ...
August 20, 2013 Client Update Investment Management Regulatory Update - August 2013 SEC Rules and Regulations SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with ...
August 8, 2013 Client Update European Regulatory Snapshot: Remuneration in the Financial Services Industry The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted ...
July 18, 2013 Client Update Investment Management Regulatory Update - July 2013 SEC Rules and Regulations SEC Adopts Rules to Eliminate General Solicitation Ban and Proposes other Private Offering R...
July 10, 2013 Client Update SEC Adopts Private Offering Reforms Mandated by JOBS Act Today the SEC adopted amendments to its private offering safe harbors as mandated by the JOBS Act of 2012. These amendment...