We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 31
Most popular |Most recent


Inventaire 2018 des obligations réglementaires américaines de reporting pour les asset managers

USA, European Union - February 5 2018 Comme chaque année, nous avons préparé une liste des principales obligations déclaratives ou de reporting réglementaire exigées par les...

Karen L. Anderberg, Audrey Wagner, Michael L. Sherman, Julien Bourgeois, Philip T. Hinkle, David A. Vaughan, Andrew L. Oringer.


Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

USA - January 24 2018 The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose...

Karen L. Anderberg, Audrey Wagner, Michael L. Sherman, Julien Bourgeois, Philip T. Hinkle, David A. Vaughan, Andrew L. Oringer.


FINRA Issues FAQs on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults

USA - January 1 2018 The Financial Industry Regulatory Authority (FINRA) has published frequently asked questions (FAQs) for complying with new FINRA Rule 2165 (Financial...

K. Susan Grafton, Albert Jung.


FINRA Proposes to Permit Remote Inspections of “Qualifying Offices”

USA - December 12 2017 In Regulatory Notice 17-38 (Regulatory Notice),1 the Financial Industry Regulatory Authority (FINRA) requests comments on a proposal (Proposal) to...

K. Susan Grafton, Jon E. Olsson.


President Trump Signs Bill Directing SEC to Expand Safe Harbor for Certain Investment Fund Research Reports

USA - October 25 2017 President Trump signed into law on October 6, 2017 the Fair Access to Investment Research Act of 2017. The Act directs the U.S. Securities and...

K. Susan Grafton, Alexander Karampatsos.