On June 5, 2013, the Securities and Exchange Commission (the “SEC”) proposed amendments to rules under the Investment Company Act of 1940 (the “Investment Company Act”) and relate...
The Alternative Investment Fund Managers Directive (the Directive) entered into force on July 21, 2011 with E.U. Member States (Member States) having until July 22, 2013 to implement it. ...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC Requests Information to Inform Consideration of Uniform Fiduciary Standard for Broker-Dealers and Investmen...
SEC Rules and Regulations
CFTC and SEC Adopt Identity Theft Rules
SEC Staff Responds to Inquiries About Filing Requirements for Certain Electronic Communications
In the March 2013 issue of The Investment Lawyer , Part 1 of this article addressed the process by which investment funds or their advisers could be designated as systemically important f...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
Industry Update
SEC Issues Risk Alert Identifying Significant Deficiencies in Compliance with the Custody R...
As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulatory oversight. As the markets respond to these new regulations, t...
While Washington’s power to regulate large banks and insurance companies as systemically important financial institutions (SIFIs) under the systemic importance regime established by the...
SEC Rules and Regulations
SEC Issues Guidance on New Iran Disclosure Requirements
SEC Extends No-Action Relief to Broker-Dealers Who Rely on Registered Investment Advisers to Perform...
