SEC staffer cautions private funds industry on potential broker registration issues *

USA - April 26 2013
In a recent speech given to the ABA Trading and Markets Subcommittee, David W. Blass (Chief Counsel of the SEC's Division of Trading and Markets)…

Co-authors: Sean J Hill, Howard J Beber, Sarah K Cherry, Gregory T. Merz, Laurier W Beaupre.

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Upcoming deadlines for private funds that trade swaps *

USA - April 9 2013
Some of the key changes to the swaps markets contemplated by the Dodd-Frank Act are starting to take effect. Some key upcoming deadlines affecting…

Co-authors: Howard J Beber, Sarah K Cherry, Christopher M Wells, Laurier W Beaupre, Charles E. Dropkin.

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UK regulators propose implementing rules and regulations on AIFMD *

United Kingdom - March 28 2013
On 19 March 2013, the UK Financial Services Authority (FSA) published Part II (CP2) of its three-part consultation series on Implementation of the…

Co-authors: Peter McGowan, Kimberly Everitt, Howard J Beber, Sarah K Cherry, Laurier W Beaupre.

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Survey of UK alternative investment fund managers due March 28 *

United Kingdom - March 22 2013
The UK Financial Services Authority (FSA) has recently published online a survey for UK alternative investment fund (AIF) managers intending to seek…

Co-authors: Peter McGowan, Kimberly Everitt, Howard J Beber, Sarah K Cherry, Laurier W Beaupre.

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ESMA publishes final AIFMD remuneration guidelines *

European Union - February 14 2013
On 11 February 2013, the European Securities and Markets Authority (ESMA) published its final Guidelines on remuneration of alternative investment…

Co-authors: Peter McGowan, Kimberly Everitt, Howard J Beber, Sarah K Cherry, Laurier W Beaupre.

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