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SEC Staff Announces 2017 OCIE Examination Priorities
  • Proskauer Rose LLP
  • USA
  • January 18 2017

On January 12, 2017, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC


2017 SEC Exam Priorities for Securities Industry Registrants
  • Greenberg Traurig LLP
  • USA
  • January 18 2017

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of


The Future of Active Funds Part 2: Don’t Just Be an Active Fund Be a Pro-Active Fund
  • K&L Gates
  • USA
  • January 17 2017

2017 will likely be the year of blockchain, and active fund shops should take notice. With over a quarter trillion dollars fleeing actively managed


Reminders for Foreign Private Issuers for the 2017 Annual Reporting Season
  • White & Case LLP
  • USA
  • January 17 2017

This memorandum outlines certain considerations for foreign private issuers (FPIs) in preparation for the 2017 annual reporting season. Part I of


The Investment Funds and Advisers 2016 Year-End Client Update Recap
  • Sidley Austin LLP
  • USA
  • January 17 2017

As the developments affecting the investment management industry continue to unfold, we have once again prepared our annual compendium of relevant


Financial Services Update, Vol. 12, Issue 2
  • Winston & Strawn LLP
  • USA
  • January 17 2017

On January 12, 2017, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its


The world’s first listed regulated bitcoin fund
  • K&L Gates
  • USA
  • January 16 2017

Global Advisors (Jersey) Limited (“Global Advisors”), the investment manager of the Global Advisors Bitcoin Investment Fund PLC (“GABI”) announced on


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


FIA Publishes Due Diligence Questionnaire for IT Outsourcing
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

FIA's e-Trading Working Group published a due diligence questionnaire intended to help investment firms subject to the Markets in Financial


The Financial Report, 13 January 2017, News from the Americas
  • DLA Piper LLP
  • Canada, USA
  • January 13 2017

DealBook reported that Wall Street clearing house Depository Trust and Clearing Corporation (DTCC) will replace one of its central databases with new