Registration and exemption of cross-border investment advisers revisited *

USA - November 3 2011
As a result of the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010 and the adoption by the U.S. Securities and Exchange Commission (SEC) of related transitional rules in 2011, the regulatory thresholds for foreign financial advisors who offer their services in the U.S. will be dramatically different in 2012.

Co-authors: Janet Novakowski Gabel, John J. Zak, Ward B. Hinkle, Ronald J. Battaglia Jr..

Impact of the Dodd-Frank Act on investment advisers and hedge funds *

USA - July 23 2010
The mammoth Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Reform Act) that President Obama signed into law on July 21, 2010, makes wide-ranging changes in the regulation of the financial industry.

Co-authors: Ward B. Hinkle.