Articles
Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross-Border Requirements
USA - May 26 2016 The Securities and Exchange Commission (SEC) recently adopted final business conduct rules for security-based swap dealers (SBSDs) and major…
Paul M. Architzel, Dan M. Berkovitz, Gail C. Bernstein, Ted Serafini
The Investment Lawyer - Covering Legal and Regulatory Issues of Asset Management
USA - May 4 2018 On February 7, 2018, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018…
Dodd-frank implementation update: key differences between the CFTC and SEC final business conduct standards and related cross-border requirements
USA - September 23 2016 Dodd-frank implementation update: key differences between the CFTC and SEC final business conduct standards and related cross-border requirements Paul…
Paul M. Architzel, Dan M. Berkovitz, Gail C. Bernstein, Ted Serafini
OCIE Examination Priorities 2018
USA - February 20 2018 On February 7, 2018, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018…
OCIE Issues Risk Alert Regarding Advisers and Principal and Agency Cross Trading
USA - October 15 2019 On September 4, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk…
