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Launching a Hedge Fund in 2016: An Overview for US Managers
  • Dechert LLP
  • USA
  • May 23 2016

Despite a challenging environment for the hedge fund industry, many institutional investors continue to allocate to hedge funds in a market


Financial Services Update, vol. 11, no. 20
  • Winston & Strawn LLP
  • USA
  • May 23 2016

Last Friday, in a speech to the National Association of Insurance Commissioners, Daniel Tarullo, one of the Governors of the Federal Reserve Board of


Surprise! No More Retail Forex for Broker-Dealers
  • Morgan Lewis & Bockius LLP
  • USA
  • May 23 2016

Last Friday, the US Securities and Exchange Commission (SEC) issued a notice stating that, effective in less than 70 days (July 31), broker-dealers


SEC To Award More Than US $5 Million to Whistleblower
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

An unnamed whistleblower will receive an award of between US $5 and $6 million because of information voluntarily provided to the Securities and


CFTC Issues Residual Interest Deadline Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 13, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) issued the Residual Interest Deadline


The Financial Report May 19, 2016 - US Exchanges and Self-Regulatory Organizations
  • DLA Piper LLP
  • USA
  • May 19 2016

The Financial Industry Regulatory Authority published a Regulatory Notice that provides an overview of new FINRA rules on firm recruitment practices


FinCEN Issues Final Rule on Customer Due Diligence Requirements for Financial Institutions
  • Sidley Austin LLP
  • USA
  • May 19 2016

On May 11, 2016, the Financial Crimes Enforcement Network (FinCEN) published a final rule (the Final Rule) that formalizes new and existing customer


FinCEN Customer Due Diligence Final Rules
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 19 2016

On May 5, 2016, the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) issued final rules (the Final Rules) on customer due


Industry Associations Publish Principles on International Cyber Security, Data and Technology
  • Shearman & Sterling LLP
  • Global, USA
  • May 18 2016

On May 10, 2016, several industry associations jointly published a paper titled International Cybersecurity, Data and Technology Principles and urged


New Age of Transparency: U.S. Announces Customer Due Diligence Requirements and Other Key Initiatives
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • May 17 2016

On May 11, 2016, the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of Treasury, published its final rule addressing