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SEC Announces 2016 Examination Priorities

USA - January 11 2016 Earlier today, the staff of the SEC's Office of Compliance Inspections and Examinations ("OCIE") announced its examination priorities for 2016. Below...

Amran Hussein, Michael S. Hong, Philip A. Heimowitz, Udi Grofman, Marco V. Masotti.

Annual Privacy Policy Notice Requirement Eliminated for Many Investment Advisers and Private Funds under the FAST Act

USA - December 21 2015 The "Fixing America's Surface Transportation Act" or "FAST Act," signed into law by President Obama on December 4, 2015, contained an amendment to...

Amran Hussein, Michael S. Hong, Philip A. Heimowitz, Udi Grofman, Marco V. Masotti.

FinCEN proposes AML regulations for investment advisers

USA - September 24 2015 The U.S. Department of the Treasury, Financial Crimes Enforcement Network ("FinCEN") proposed rules on August 25, 2015 that would broaden the...

Amran Hussein, Jessica S. Carey, Michael S. Hong, Udi Grofman, Marco V. Masotti.

OCIE issues additional information on cybersecurity examination initiative

USA - September 17 2015 Sep 17, 2015 The SEC's Office of Compliance Inspections and Examinations ("OCIE") recently published additional information on the areas of focus for...

Amran Hussein, Michael S. Hong, Philip A. Heimowitz, Udi Grofman, Marco V. Masotti.

FinCEN proposes AML regulations for investment advisers

USA - August 27 2015 The Financial Crimes Enforcement Network ("FinCEN") proposed a rule on August 25, 2015 requiring certain investment advisers to establish anti-money...

Amran Hussein, Michael S. Hong, Philip A. Heimowitz, Udi Grofman, Marco V. Masotti.