Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights 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... April 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 2 of 2 In the March 2013 issue of The Investment Lawyer , Part 1 of this article addressed the process by which investment funds ... March 25, 2013 Client Update Investment Management Regulatory Update - March 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF Industry Update SEC Issues Risk Alert Iden... March 11, 2013 Client Update An Asset Manager’s Guide to Swap Trading in the New Regulatory World As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulat... March 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 1 of 2 While Washington’s power to regulate large banks and insurance companies as systemically important financial institution... February 27, 2013 Client Update Investment Management Regulatory Update - February 2013 SEC Rules and Regulations SEC Issues Guidance on New Iran Disclosure Requirements SEC Extends No-Action Relief to Bro... Load More
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...
April 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 2 of 2 In the March 2013 issue of The Investment Lawyer , Part 1 of this article addressed the process by which investment funds ...
March 25, 2013 Client Update Investment Management Regulatory Update - March 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF Industry Update SEC Issues Risk Alert Iden...
March 11, 2013 Client Update An Asset Manager’s Guide to Swap Trading in the New Regulatory World As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulat...
March 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 1 of 2 While Washington’s power to regulate large banks and insurance companies as systemically important financial institution...
February 27, 2013 Client Update Investment Management Regulatory Update - February 2013 SEC Rules and Regulations SEC Issues Guidance on New Iran Disclosure Requirements SEC Extends No-Action Relief to Bro...