Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights 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... 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 ... Load More
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...
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 ...