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The Shape of Things to Come: OCIE Announces Examination Priorities for 2016

USA - January 13 2016 The staff of the Securities and Exchange Commission (the “SEC”) recently published a summary of the select priorities of the SEC’s Office of...

Jim Pastore, Kenneth J. Berman, Michael P. Harrell, Lee A. Schneider, Robert B. Kaplan.


Changes to Annual Privacy Notice Requirements

USA - January 6 2016 As part of the Fixing America's Surface Transportation Act (FAST Act), President Obama recently signed into law an amendment to the Gramm-LeachBliley...

Naeha Prakash, Jeewon Kim Serrato, Satish M. Kini, Jeremy Feigelson.


New Volcker Rule FAQs provide guidance on market making in covered funds and CEO certification for prime brokerage transactions

USA - September 28 2015 On September 25, 2015, the Federal Reserve and other agencies charged with implementing the Volcker Rule issued two new Frequently Asked Questions...

Satish M. Kini, David L. Portilla.


FinCEN proposes anti-money laundering rules for investment advisers

USA - August 31 2015 On August 25, 2015, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) proposed new regulations (the “Proposed Rules”)...

Robert T. Dura, Kenneth J. Berman, Michael P. Harrell, Satish M. Kini, Lee A. Schneider.


New Volcker Rule FAQ provides guidance on fund seeding periods

USA - July 17 2015 Yesterday, the Federal Reserve and other agencies charged with implementing the Volcker Rule issued a new Frequently Asked Question ("FAQ") regarding...

Satish M. Kini, David L. Portilla.