Brian T. Daly
Schulte Roth & Zabel LLP
Articles
SEC Examinations Update: 2021 Examination Priorities
USA - March 3 2021 On March 3, 2021, the SEC's Division of Examinations released its 2021 Examination Priorities ("Exam Priorities"). While the Exam Priorities address…
Christopher S. Avellaneda, Marc E. Elovitz, Kelly Koscuiszka, Tarik M. Shah, Craig S. Warkol
CFTC Adopts New Position Limits Rules The impact on private fund managers
USA - January 27 2021 On Oct. 15, 2020, the Commodity Futures Trading Commission ("CFTC") adopted a "Final Rule" on a new position limits regime that covers 25 physical…
OFAC Provides Guidance on Trading Ban in Chinese Companies
USA - December 31 2020 On Dec. 28, 2020, the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) issued guidance clarifying the scope of the Trump…
Melissa G.R. Goldstein, Betty Santangelo, Gary Stein, Hannah Thibideau
New SEC Guidance on Compliance Responsibilities of Fund Managers and Chief Compliance Officers
USA - November 23 2020 On Nov. 19, 2020, the SEC’s Office of Compliance Inspections and Examinations and its director provided unprecedented guidance with respect to the…
White House Bans Trading in 31 Chinese Companies
China, USA - November 13 2020 On Nov. 12, 2020, President Donald Trump signed an Executive Order1 that, effective Jan. 11, 2021, will impose a ban on trading by U.S. persons in the…
Gregory L. Kinzelman, Betty Santangelo, Gary Stein, Hannah Thibideau, Joshua B. Wright
