Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights June 24, 2013 Client Update Investment Management Regulatory Update - June 2013 SEC Rules and Regulations SEC Proposes Amendments to Money Market Fund Rules SEC Proposes Rules to Regulate Cross-Bord... June 11, 2013 Client Update SEC Proposes Amendments to Money Market Fund Rules On June 5, 2013, the Securities and Exchange Commission (the “SEC”) proposed amendments to rules under the Investment ... June 4, 2013 Client Update The Impact of the Alternative Investment Fund Managers Directive on Non-E.U. Managers of Non-E.U. Funds The Alternative Investment Fund Managers Directive (the Directive) entered into force on July 21, 2011 with E.U. Member St... May 28, 2013 Articles & Books CCOs Must Heed SEC’s Northern Lights Action May 16, 2013 Client Update Investment Management Regulatory Update - May 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Requests Information to Inform Considerati... May 16, 2013 Client Update SEC Proposes Cross-Border Security-Based Swap Rules On May 1, 2013, the Securities and Exchange Commission took long-awaited action to propose rules governing cross-border ac... May 13, 2013 Client Update The SEC’s Northern Lights Enforcement Action: Implications For Fund Directors On May 2, 2013, the Securities and Exchange Commission (the “SEC”) settled charges that the five trustees (the “Trus... May 2, 2013 Client Update FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distrib... April 29, 2013 Client Update Investment Management Regulatory Update - April 2013 SEC Rules and Regulations CFTC and SEC Adopt Identity Theft Rules SEC Staff Responds to Inquiries About Filing Require... April 23, 2013 Client Update Recent European Compensation Developments: Financial Institutions and Beyond Almost half a decade after the onset of the financial crisis, populist sentiment and the resulting political environment c... Load More
June 24, 2013 Client Update Investment Management Regulatory Update - June 2013 SEC Rules and Regulations SEC Proposes Amendments to Money Market Fund Rules SEC Proposes Rules to Regulate Cross-Bord...
June 11, 2013 Client Update SEC Proposes Amendments to Money Market Fund Rules On June 5, 2013, the Securities and Exchange Commission (the “SEC”) proposed amendments to rules under the Investment ...
June 4, 2013 Client Update The Impact of the Alternative Investment Fund Managers Directive on Non-E.U. Managers of Non-E.U. Funds The Alternative Investment Fund Managers Directive (the Directive) entered into force on July 21, 2011 with E.U. Member St...
May 16, 2013 Client Update Investment Management Regulatory Update - May 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Requests Information to Inform Considerati...
May 16, 2013 Client Update SEC Proposes Cross-Border Security-Based Swap Rules On May 1, 2013, the Securities and Exchange Commission took long-awaited action to propose rules governing cross-border ac...
May 13, 2013 Client Update The SEC’s Northern Lights Enforcement Action: Implications For Fund Directors On May 2, 2013, the Securities and Exchange Commission (the “SEC”) settled charges that the five trustees (the “Trus...
May 2, 2013 Client Update FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distrib...
April 29, 2013 Client Update Investment Management Regulatory Update - April 2013 SEC Rules and Regulations CFTC and SEC Adopt Identity Theft Rules SEC Staff Responds to Inquiries About Filing Require...
April 23, 2013 Client Update Recent European Compensation Developments: Financial Institutions and Beyond Almost half a decade after the onset of the financial crisis, populist sentiment and the resulting political environment c...