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SEC Charges Private Equity Fund Adviser as an Unregistered Broker

USA - June 16 2016 On June 1, 2016, the Securities and Exchange Commission (the "SEC") accepted a settlement offer from a registered investment adviser of private...

Lauren P. Heller, Anastasia T. Rockas, Erich T. Schwartz.


"Labor Department Redefines ‘Fiduciary’ for ERISA and Internal Revenue Code Purposes"

USA - April 25 2016 On April 6, 2016, the Department of Labor (DOL) issued a widely anticipated final regulation that redefines who is a “fiduciary” of certain employee...

Joseph M. Yaffe, Erica Schohn, Regina Olshan, Neil M. Leff, Anastasia T. Rockas.


Potential Regulatory and Litigation Risks Relating to Recent Fixed-Income Market Concerns

USA - February 25 2016 Recent events relating to the fixed-income markets including volatility in the high-yield markets and the high-profile closings of a number of funds...

Scott D. Musoff, Michael K. Hoffman, Alexander C. Drylewski, Jay B. Kasner, John K. Carroll.


CFTC staff issues more no-action letters to commodity pool operators

USA - October 24 2014 Over the last month, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued four...

Anastasia T. Rockas.