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Agencies release new Volcker Rule guidance on the ability of non-U.S. banks to invest in third-party covered funds

USA - March 10 2015 On February 27, 2015, the regulatory agencies responsible for implementing the Volcker Rule released a Frequently Asked Question (FAQ) on the Volcker...

Christopher M Wells, Bruce L Lieb, Howard J Beber, Robert G Leonard, Michael F Mavrides.


U.S. advisers managing at least $100 million in non-U.S. securities must file Form SHC in Q1 2012

USA - February 6 2012 Certain U.S.-resident investment advisers that manage at least $100 million in non-U.S. securities (including interests in non-U.S. master funds) held by U.S.-resident funds and accounts, or that have been notified by the Federal Reserve Bank of New York (FRBNY) that they are subject to a reporting obligation, must file a Report of U.S. Ownership of Foreign Securities, Including Selected Money Market Instruments (Form SHC) with the FRBNY not later than March 2, 2012 with respect to information as of December 31, 2011, unless exempted as described below....

Ira G Bogner, Amanda H Nussbaum, Christopher M Wells, Bruce L Lieb, Marc A Persily.


SEC advisory on use of social media by investment advisers

USA - February 6 2012 The SEC recently issued a Risk Alert cautioning investment advisers about the use of social media....

Ira G Bogner, Amanda H Nussbaum, Christopher M Wells, Bruce L Lieb, Marc A Persily.


SEC amends accredited investor definition

USA - February 6 2012 In December 2011, the SEC amended the "accredited investor" definition under Rule 501(a)(5) of Regulation D to conform to the requirements of Section 413(a) of the Dodd-Frank Act....

Ira G Bogner, Amanda H Nussbaum, Christopher M Wells, Bruce L Lieb, Marc A Persily.


EU adopts rules limiting short sales

European Union - February 6 2012 On November 15, 2011, the European Parliament adopted, with amendments, the European Commission's proposal for an EU Short Selling Regulation (SSR)....

Ira G Bogner, Amanda H Nussbaum, Christopher M Wells, Bruce L Lieb, Marc A Persily.