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Investment management legal regulatory update - April 2016
  • Morrison & Foerster LLP
  • USA
  • April 20 2016

The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving


What FinCEN AML Proposal Means For Crowdfunding Platforms
  • Arnold & Porter LLP
  • USA
  • April 14 2016

Equity crowdfunding platforms, or “funding portals” as defined in the Jumpstart Our Business Startups Act (JOBS Act), may soon find themselves subject


FinCEN Proposes AML Requirements for Crowdfunding Platforms: Coverage and Considerations
  • Arnold & Porter LLP
  • USA
  • April 8 2016

Equity crowdfunding platforms, or “funding portals” as defined in the Jumpstart Our Business Startups Act (JOBS Act), may soon find themselves


Parent Company and Subsidiary Liability for FCPA Violations: Fighting the Disinformation Campaign
  • Volkov Law Group
  • USA
  • April 5 2016

Akin to politics (to a smaller degree), there is a fair amount of disinformation, some call it bloviating, put out by the FCPA Paparazzi. Some of


Historic FCPA Settlement Reflects Increased Regulatory Focus on International Anticorruption Issues Arising from M&A Transactions
  • Ogletree Deakins
  • USA
  • March 28 2016

Most employers already know that violating the Foreign Corrupt Practices Act of 1977 (FCPA) has serious consequences, including significant fines


Lessons for PE Managers from the SEC’s Ongoing Scrutiny of Private Equity Funds
  • Dechert LLP
  • USA
  • March 24 2016

A large number of private equity managers were required to register for the first time with the U.S. Securities and Exchange Commission (SEC


SEC Division of Investment Management Director David Grim’s Remarks to PLI Investment Management Institute 2016
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • March 3 2016

In commemorating the 75th anniversary of the Investment Company Act and Investment Advisers Act, David Grim discussed his views about the past


SEC Issues Investor Alert on Crowdfunding
  • Morrison & Foerster LLP
  • USA
  • February 18 2016

With the May 2016 effective date of the new crowdfunding rules approaching, the SEC is attempting to help prepare the market. On February 16, 2016


Private Equity Fund Managers: Annual Compliance Reminders and New Developments
  • Latham & Watkins LLP
  • USA
  • February 9 2016

US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs), impose numerous yearly reporting and compliance


Tipping for Nothing: Supreme Court to Tackle Insider Trading Split over Tippee Liability
  • Carrington Coleman
  • USA
  • February 2 2016

Last week, the Supreme Court agreed to hear United States v. Salman to resolve a split over insider trading liability. Because “all disclosures of