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The SEC proposes expanding reporting requirements for investment companies

USA - July 30 2015 On May 20, 2015, the Securities and Exchange Commission (the “SEC”) approved new proposed rules, forms and amendments that would expand the...

Michael K. Hoffman, Kevin T. Hardy, Thomas A. DeCapo.


SEC proposes expanding reporting requirements for investment advisers

USA - July 17 2015 On May 20, 2015, the Securities and Exchange Commission (the "SEC") proposed new rules, forms and amendments that would expand the information that...

Anastasia T. Rockas.


CFTC, SEC issue guidance on the applicability of certain regulations to family offices

USA - February 24 2015 In November and December 2014, the Commodity Futures Trading Commission (the "CFTC") and Securities and Exchange Commission ("SEC"), respectively...

Anastasia T. Rockas, Lawrence D. Frishman.


SEC focus results in investment adviser fee and expense changes

USA - January 22 2015 Recent efforts by the Securities and Exchange Commission (SEC) to bring concentrated regulatory attention to investment managers sharpened over the...

Anastasia T. Rockas, Erich T. Schwartz.