Title

Investment Management Regulatory Update
Client Newsletter

Created date

10/20/2014

Industry Update

  • IM Director Discusses Changing Regulatory Landscape for Hedge Fund Managers
  • CFTC Grants No-Action Relief for Certain CPOs of Pools with Wholly-Owned Trading Subsidiaries
  • CFTC Grants No-Action Relief to Permit Additional Third-Party Recordkeepers in Commission Regulations 4.7(b)(4) and 4.23(c)
  • Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
  • FinCEN Publishes Proposed Rule to Enhance Customer Due Diligence Requirements for Financial Institutions

Litigation

  • SEC Brings Four Enforcement Actions for Undisclosed Principal Transactions and Other Violations
  • SEC Charges Barclays with Compliance Failures after Acquiring Lehman
  • SEC Charges Wells Fargo with Failing to Maintain Adequate Insider Trading Controls and Withholding and Falsifying Documents

Notes from Europe: European Regulatory Developments

  • European Regulatory Developments Regarding Remuneration in the Financial Services Industry
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