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International Regulatory Update 13 - 17 February 2017
  • Clifford Chance LLP
  • USA
  • February 21 2017

Clifford Chance's International Regulatory Update is a weekly digest of significant regulatory developments affecting banking and investment banking


2017 Update for Investment Advisers
  • Sidley Austin LLP
  • USA
  • February 17 2017

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


2017 Legislative and Regulatory Outlook Contents
  • Hogan Lovells
  • USA
  • February 13 2017

President Donald Trump's victory in the election of 2016 had long coattails, helping Republicans narrowly maintain their majority in the Senate and


Important Annual Requirements; SEC Exam Priorities for 2017; Recent SEC Enforcement Initiatives
  • Sidley Austin LLP
  • USA
  • February 13 2017

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


2017 Annual Update - Bryan Cave Private Funds Practice
  • Bryan Cave LLP
  • USA
  • February 9 2017

As we move into a New Year, we have taken the opportunity to prepare an Annual Update for our investment adviser and private fund clients. This


UAE securities regulator creates regime for promotion and introduction to UAE investors
  • Clifford Chance LLP
  • United Arab Emirates
  • February 9 2017

Following public comment on last year's Securities and Commodities Authority (SCA) consultation on the Promoting and Arranging Regulations, the SCA


U.S. Regulatory Action Items for Investment Advisers (2017)
  • Jones Day
  • USA
  • February 3 2017

For investment advisers (registered, exempt reporting, and unregistered), there are myriad recurring obligations and undertakings to keep in mind. As


Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds
  • Dechert LLP
  • USA
  • February 1 2017

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose


Funds Talk: February 2017
  • Kramer Levin Naftalis & Frankel LLP
  • European Union, USA
  • February 1 2017

As the new year begins, U.S. regulators highlighted the areas - some new and some familiar - which will be the focus of their examinations in the


InVest - 17 January 2017
  • Addleshaw Goddard LLP
  • European Union, United Kingdom
  • January 17 2017

On 9 January 2017, the Maltese Presidency of the Council of the EU published its Work Programme for 1 January to 30 June 2017. The main items in the