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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.