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2017 SEC Exam Priorities

USA - January 23 2017 The SEC Office of Compliance Inspections and Examinations recently released its 2017 Exam Priorities. This Client Alert summarizes the 2017 Exam...

Aaron Bourke.

AB2833: New California Law Opens Lid on Private Fund Fees

USA - October 4 2016 On September 14, 2016, California Governor Jerry Brown signed Assembly Bill No. 2833. The new law obligates every California public investment fund...

Harvey L. Leiderman.

SEC Announces 2016 Exam Priorities

USA - January 15 2016 The SEC Office of Compliance Inspections and Examinations ("OCIE" or the "Staff") released its 2016 Exam Priorities recently, as applicable to...

Matthew J. Bromberg, W. Thomas Conner.

Guidance on CPO and CTA Annual Affirmations Requirements Due By February 29, 2016 and General Compliance Requirements for Commodity Pools and Advisors in the US and the EU

USA - December 24 2015 On December 1, 2015, the National Futures Association (the NFA) issued a notice to members to remind them of certain Commodity Futures Trading...

Daniel Weiner, Peter Y. Malyshev, Ilene K. Froom, Alicia C. Thanasoulis, Chris Borg.

SEC announces 2015 Exam Priorities

USA - January 20 2015 The SEC Office of Compliance Inspections and Examinations ("OCIE" or the "Staff") recently released its 2015 Exam Priorities. OCIE examines all types...

Aaron Bourke.