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Investment services regultory update

USA - June 12 2015 On May 20, 2015, the SEC unanimously approved proposed rules, forms and amendments that are intended to modernize and enhance the reporting and...

Juan M. Arciniegas, James A. Arpaia, Renee M. Hardt, Deborah Bielicke Eades, David A. Sturms.


SEC extends temporary Rule regarding adviser principal trades

USA - January 31 2015 On December 17, 2014, the SEC adopted an amendment to Rule 206(3)-3T to extend the Rule's expiration date by two years until December 31, 2016. The...

Juan M. Arciniegas, James A. Arpaia, Renee M. Hardt, Deborah Bielicke Eades, David A. Sturms.


SEC settles with investment advisory firm over claims of false performance advertising

USA - January 31 2015 On December 22, 2014, the SEC settled charges against investment advisory firm, F Squared Investments, Inc., in connection with false performance...

Juan M. Arciniegas, James A. Arpaia, Renee M. Hardt, Deborah Bielicke Eades, David A. Sturms.


SEC Chair and FSOC comment on asset management regulation and systemic risk

USA - January 31 2015 In a December 11, 2014 speech, SEC Chair Mary Jo White described three initiatives that the SEC staff has been working on to address fund portfolio...

Juan M. Arciniegas, James A. Arpaia, Renee M. Hardt, Deborah Bielicke Eades, David A. Sturms.