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SEC Proposes New Limits on Registered Funds’ and BDCs’ Use of Derivatives

USA - January 26 2016 On December 11, 2015, the Securities and Exchange Commission (the “SEC”) proposed a new rule 18f-4 (the “Proposed Rule”) under the Investment Company...

Peter Chen, Byungkwon Lim, Aaron J. Levy.

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, Michael P. Harrell, Gregory T. Larkin, Lee A. Schneider, Robert B. Kaplan.

SEC settles action concerning adequacy of policies to prevent dissemination of material nonpublic information

USA - December 2 2015 On November 24, 2015, the Securities and Exchange Commission (the "SEC") announced a settled action against Marwood Group Research LLC ("Marwood"), a...

Paul R. Berger, Matthew E. Kaplan, Jonathan R. Tuttle, Ada Fernandez Johnson, Robert B. Kaplan.

SEC sanctions investment adviser for failing to adopt cybersecurity policies and procedures

USA - September 24 2015 In a recently disclosed action, the Securities and Exchange Commission ("SEC") found a registered investment adviser, R.T. Jones Capital Equities...

Jim Pastore, Michael P. Harrell, Jeremy Feigelson, Derek Wikstrom, David Sarratt.

SEC releases updated cybersecurity examination guidelines

USA - September 18 2015 In 2014, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) conducted Examinations of 57 registered broker-dealers and 49...

Jim Pastore, Jennifer M. Freeman, Jeremy Feigelson, Lee A. Schneider, David Sarratt.