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SEC issues IM guidance update on compliance with exemptive orders

Ropes & Gray LLP
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USA
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May 21 2013

On May 6, 2013, the SEC's Division of Investment Management issued a guidance update for registered funds and investment advisers that rely on

Supreme Court to decide which employees are covered by whistleblower law

Littler Mendelson
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USA
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May 21 2013

On Monday the U.S. Supreme Court agreed to consider the scope of the Sarbanes-Oxley Act of 2002 (SOX) whistleblower protections. Specifically, in

SOP introduced for the Financial Markets Conduct Bill

Bell Gully
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New Zealand
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May 21 2013

The Government has introduced Supplementary Order Paper No. 220 (SOP) which proposes a number of amendments to the Financial Markets Conduct Bill

SEC considering more stringent requirements for cybersecurity disclosures in the wake of stock manipulating hacking case

Orrick Herrington & Sutcliffe LLP
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USA
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May 21 2013

Following up on clues earlier this year that the SEC may increase its scrutiny of cybersecurity disclosures, SEC Chairman Mary Jo White has asked the

Conflict minerals and resource extraction challenges proceed on accelerated basis

Leonard, Street and Deinard
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USA
-
May 21 2013

We previously noted that the challenge to the SEC's conflict minerals rules was transferred from the Court of Appeals to the United States District

Earlier cut-off times proposed by the Companies Office for same day registration of prospectuses and related documents

Bell Gully
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New Zealand
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May 21 2013

The Companies Office has been engaging in an informal consultation on the proposed service level standards for the registration of prospectuses and

United Kingdom aims to minimise the transition and marketing requirements for AIFMs under AIFMD

Proskauer Rose LLP
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European Union
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May 21 2013

On 13 May 2013, HM Treasury published a response document to its earlier consultation regarding transposition of the Alternative Investment Fund

New KiwiSaver periodic disclosure statements from October 2013

Bell Gully
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New Zealand
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May 21 2013

New disclosure rules for retail KiwiSaver schemes to report on funds in a standardised manner have been introduced. The KiwiSaver (Periodic

SEC Commissioner comments on JOBS Act; immigration reform

Leonard, Street and Deinard
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USA
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May 21 2013

On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to

New SEC identity theft red flag regulations call attention to investment advisers

Dinsmore & Shohl LLP
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USA
-
May 21 2013

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the

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Search results

SEC issues IM guidance update on compliance with exemptive orders

Supreme Court to decide which employees are covered by whistleblower law

SOP introduced for the Financial Markets Conduct Bill

SEC considering more stringent requirements for cybersecurity disclosures in the wake of stock manipulating hacking case

Conflict minerals and resource extraction challenges proceed on accelerated basis

Earlier cut-off times proposed by the Companies Office for same day registration of prospectuses and related documents

United Kingdom aims to minimise the transition and marketing requirements for AIFMs under AIFMD

New KiwiSaver periodic disclosure statements from October 2013

SEC Commissioner comments on JOBS Act; immigration reform

New SEC identity theft red flag regulations call attention to investment advisers

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