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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, Gregory T. Larkin, Lee A. Schneider, 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, Kenneth J. Berman, Jeremy Feigelson, Derek Wikstrom, David Sarratt.


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, Gregory T. Larkin, Satish M. Kini, Lee A. Schneider.


SEC pay-to-play Placement Agent Restriction delayed, and a reminder for campaign season

USA - July 9 2015 On June 25, 2015, the staff of the Securities and Exchange Commission (the "SEC") again delayed the compliance date of the provision of Rule 206(4)-5...

Julie Baine Stem, Jaime Doninger Schechter, Jennifer R. Cowan, Jordan C. Murray.


BE-10 reporting by U.S. persons regarding non-U.S. business holdings

USA - May 13 2015 On November 20, 2014, the U.S. Commerce Department's Bureau of Economic Analysis (the "BEA") adopted regulations requiring all U.S. persons...

Jonathan Adler, Satish M. Kini, Dmitriy A. Tartakovskiy, Gregory V. Gooding.