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Funds Talk: March 2017

USA - March 1 2017 On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance......

George M. Silfen, Kevin P. Scanlan, Thomas T. Janover, Ronald M. Feiman, Gilbert K.S. Liu, Barry Herzog, Robert N. Holtzman, Daniel A. Rabinowitz, Alexander Traum, Robin Wilcox.

Funds Talk: February 2017

USA, European Union - February 1 2017 As the new year begins, U.S. regulators highlighted the areas - some new and some familiar - which will be the focus of their examinations in the...

Kevin P. Scanlan, Fabien Carruzzo, Ernest S.Wechsler, Thomas T. Janover, Gilbert K.S. Liu, Barry Herzog, Samantha V. Ettari, Robert N. Holtzman, Daniel A. Rabinowitz, Robin Wilcox.

Funds Talk: December 2016

USA, United Kingdom, European Union, France - December 1 2016 The Office of Compliance Inspections and Examinations (OCIE) announced it is examining registrants' compliance with key whistleblower provisions...

John Bessonette, Kevin P. Scanlan, Daniel King, Matthew F. Hacker, Thomas Moers Mayer, Robert N. Holtzman.

Actualite juridique Juin - Juillet 2016

USA, European Union - August 22 2016 L’ESMA a publié le 19 juillet 2016 une mise à jour de ses questions-réponses relatives à l’application de la Directive du 23 juillet 2014 n...

Gilles Kolifrath, Jean-Pierre Mattout, Hubert de Vauplane, Reid Feldman, Hugues Bouchetemble.

Brexit Creates Uncertainty for US Fund Managers

USA, United Kingdom, European Union - July 1 2016 What happens now? A week after the United Kingdom's historic referendum on June 23 resulted in a narrow vote to leave the European Union, market and...