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, Patricia C. Sandison, John J. Zak, Ward B. Hinkle.

The SEC’s custody rule for registered investment advisers *

USA - April 16 2010
Effective March 12, 2010, the SEC amended Rule 206(4)-2 (the Custody Rule), which governs the custody of client securities and funds by federally registered investment advisers (RIAs).

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