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Schulte Roth & Zabel LLP

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Highlights of FinCEN’s Long-Awaited Customer Due Diligence Final Rule

USA - May 11 2016 On May 11, 2016, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) published its long-awaited Final Rule regarding the

The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers

USA - April 26 2016 On April 7, 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s proposed amendments to NASD Rule 1032

FinCEN’s ANPRM on customer due diligence for financial institutions comments due May 4

USA - March 9 2012 On March 5, 2012, the Financial Crimes Enforcement Network (“FinCEN”), a bureau of the U.S. Treasury Department (“Treasury”), issued an advanced notice of proposed rulemaking (“ANPRM”) requesting input from various industries on customer due diligence (“CDD”) requirements for financial institutions

Primer on CFTC Form 40 and related reporting and recordkeeping requirements

USA - December 1 2008 In view of the apparent increase in the number of Commodity Futures Trading Commission (“CFTC”) Form 40 requests received by our fund clients lately, we thought it would be helpful to briefly outline the circumstances that result in the receipt of a Form 40 request, as well as the CFTC reporting and recordkeeping requirements for Form 40

FATCA registration and compliance requirements updated guidance for UK investment managers

United Kingdom - May 6 2014 In a previous Alert dated 8 April 2014, we described certain registration and compliance requirements for Hedge Funds and hedge fund managers under

Activist Investing Update: DOJ’s HSR Action Against ValueAct Highlights Uncertainties Regarding the ‘Investment-Only’ Exemption

USA - May 20 2016 Last month, the U.S. Department of Justice (the "DOJ") filed a complaint in federal court against two ValueAct investment funds and their shared

Highlights of FinCEN’s Long-Awaited Customer Due Diligence Final Rule

USA - May 11 2016 On May 11, 2016, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) published its long-awaited Final Rule regarding the

Congress Passes the Defend Trade Secrets Act of 2016

USA - May 2 2016 On April 27, 2016, the U.S. House of Representatives passed the Defend Trade Secrets Act of 2016, S. 1890 (the "DTSA"). The U.S. Senate had already

The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers

USA - April 26 2016 On April 7, 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s proposed amendments to NASD Rule 1032

Should Schools Test Their Drinking Water?

USA - April 25 2016 With the recent news coverage that has brought to light the potential for elevated lead levels in drinking water, it is a good time for schools to