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2016 Update for Investment Advisers
  • Sidley Austin LLP
  • USA
  • January 29 2016

Investment advisers registered with the Securities and Exchange Commission (SEC) have certain annual requirements under the Investment Advisers Act of


New Year: New Regulatory Developments Affecting Managers of Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • OECD, USA
  • January 25 2016

Regulators were busy at the end of 2015, especially in the United States, perhaps being motivated to push forward new rule proposals in anticipation


Five provinces adopt a new prospectus exemption for retail investors relying on suitability advice from an investment dealer
  • Stikeman Elliott LLP
  • Canada
  • January 22 2016

The securities regulatory authorities of five provinces - British Columbia, Alberta, Saskatchewan, Manitoba and New Brunswick - have adopted a


2016 Annual Compliance Dates: SEC-Registered Investment Advisers To Private Funds
  • Bryan Cave LLP
  • USA
  • January 20 2016

In 2010 the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) eliminated the private fund adviser exemption. Prior to Dodd-Frank


Changes to Ontario participation fees for reporting issuers
  • Blake Cassels & Graydon LLP
  • Canada
  • January 20 2016

In 2015, the Ontario Securities Commission (OSC) approved the replacement of OSC Rule 13-502 Fees (Ontario Fee Rule) and its Companion Policy with a


International regulatory update 4 - 8 January 2016
  • Clifford Chance LLP
  • Australia, Belgium, European Union, Germany, Hong Kong, Luxembourg, Netherlands, South Korea, Spain, United Kingdom, USA
  • January 12 2016

Clifford Chance’s International Regulatory Update is a weekly digest of significant regulatory developments, drawing on our daily content from our


Investment Management Division Director Address to Investment Company Institute
  • Foley & Lardner LLP
  • USA
  • December 29 2015

Division Director David Grim addressed the ICI on December 16, 2015. In his remarks, Grim noted 2015 was the 75th anniversary of the 1940 Acts. He


Guidance on CPO and CTA Annual Affirmations Requirements Due By February 29, 2016 and General Compliance Requirements for Commodity Pools and Advisors in the US and the EU
  • Reed Smith LLP
  • USA
  • December 24 2015

On December 1, 2015, the National Futures Association (the NFA) issued a notice to members to remind them of certain Commodity Futures Trading


A look back at 2015: a big year in Canadian securities law developments
  • Stikeman Elliott LLP
  • Canada
  • December 23 2015

It was a busy year for Canadian securities regulators and market participants. Virtually every area of securities law from M&A to corporate finance


Use of Derivatives by Registered Investment Companies and Business Development Companies
  • Sullivan & Cromwell LLP
  • USA
  • December 18 2015

On December 11, 2015, the Securities and Exchange Commission, by a vote of three to one, proposed new rule 18f-4 under the Investment Company Act of