SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC, FINRA and CFTC Release Joint Observations Regarding Business Continuity Plans
SEC Staff Expands Relief fo...
On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted final regulations designed to harmonize the obligations of registered commodity pool operators (“CPOs?...
The Alternative Investment Fund Managers Directive which became effective on 22 July 2013 not only represents a sea change in the regulation of managers established in Europe but also has...
SEC Rules and Regulations
SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with CME to Meet Margin Requirements for Additional Swaps Cleared by C...
The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted in a confusing web of overlapping European Directives and local E...
SEC Rules and Regulations
SEC Adopts Rules to Eliminate General Solicitation Ban and Proposes other Private Offering Reforms Mandated by JOBS Act
SEC Grants No-Action Relief to Advis...
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...
