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Results: 1-10 of 23,275

Financial services committee hearing may provide insights

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • July 21 2014

This Thursday, July 24th, the Capital Markets and Government Sponsored Enterprises Subcommittee will hold a hearing with Keith Higgins, Director of

Treasury International Capital Form SHL and Form S updated

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

The Department of Treasury recently released updated instructions and forms with respect to the Treasury International Capital Form SHL (Form SHL

SEC provides guidance on the definition of “knowledgeable employees”

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

In February, the SEC's Division of Investment Management (the Division) issued a very helpful No-Action Letter to the Managed Funds Association that

SEC releases new guidance on Form 13F confidential treatment requests

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

In an October IM Guidance Update, the Division provided additional guidance regarding requests for confidential treatment for information relating to

SEC issues new guidance to clarify the term “beneficial owner” in Bad Actor Rule SEC issues clarifies “beneficial owner” for Bad Actor Rules

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

The SEC's Division of Corporate Finance (the Division) has recently issued new guidance (in the form of "Frequently Asked Questions") to clarify what

SEC charges Manhattan-based private equity manager with stealing $9 million in investor funds

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

The SEC recently charged a Manhattan-based private equity manager and his firm with stealing $9 million from investors in their private equity fund

SEC releases guidance on the Testimonial Rule and social media

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

The SEC recently provided guidance in a March IM Guidance Update regarding the application of Section 206(4) of the Advisers Act (the Testimony Rule

SEC updates Form PF “frequently asked questions”

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

The SEC staff recently released an updated set of questions and answers in its "Frequently Asked Questions" relating to Form PF, and several of these

SEC initiative announced to target registered investment advisers who have never undergone review

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

The SEC recently announced its 2014 plan to target registered investment advisers who have never undergone a formal compliance examination. SEC

SEC to focus on “broken windows,” targeting both large and small violations of federal securities laws

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • July 21 2014

In recent remarks to the Securities Enforcement Forum, SEC Chairperson Mary Jo White stated that one of the SEC's goals for its enforcement program