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 3 of 3
Most popular |Most recent

SEC Staff Relaxes Limitations under 1940 Act to Permit Certain Global “Master-Feeder” Arrangements, Although Obstacles Remain

USA - April 18 2017 The Staff of the U.S. Securities and Exchange Commission (SEC) on March 8, 2017 issued a no-action letter (Staff Letter) in response to a request from...

Colman O'Loghlen, Brendan C. Fox, Brenden P.Carroll.

SEC Grants Sub-Advisers No-Action Relief from Custody Rule Audit Requirements

USA - May 4 2016 A U.S. Securities and Exchange Commission (SEC) no-action letter issued on April 25, 2016 provides relief from the annual surprise audit requirement...

Mark D. Perlow, Michael L. Sherman.

FINRA Letter Announces Cybersecurity as 2016 Exam Priority

USA - January 8 2016 The Financial Industry Regulatory Authority ("FINRA") released its annual Regulatory and Examination Priorities Letter on January 5, listing...

Hannah Fine, Timothy C. Blank, Vernon L. Francis.