Registered investment advisers: annual compliance obligations--what you need to know *

USA - February 7 2013
As the new year is upon us, there are some important annual compliance obligations Investment Advisers either registered with the Securities and…

Co-authors: André W. Brewster , Michael G. Wu, Jay B. Gould.

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2012 annual compliance obligations: what you need to know *

USA - March 2 2012
In light of the current regulatory environment, now more than ever, it is critical for you to comply with all of the legal requirements and best practices applicable to Investment Advisers. 

Co-authors: Peter J. Chess.

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New CFTC final rule: registration of swap dealers and major swap participants *

USA - January 17 2012
The Commodity Futures Trading Commission (CFTC) released a Final Rule on January 11, 2012, on the Registration of Swaps Dealers (SDs) and Major Swap Participants (MSPs). 

Co-authors: Peter J. Chess, Jay B. Gould.

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SEC focuses on investment advisers' use of social media *

USA - January 9 2012
On January 4, 2012, the Securities and Exchange Commission released a National Examination Risk Alert addressing investment adviser use of social media.

Co-authors: Peter J. Chess, Jay B. Gould.

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Reminder re Form 13H filing *

USA - December 1 2011
An entity that meets the definition of a “Large Trader” after October 3, 2011 must file its initial Form 13H with the SEC by December 1, 2011 to be assigned a large trader identification number (LTID). 

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