Results 6 to 10 of 15

Beyond a culture of compliance: securities regulators emphasize disclosure

USA - May 29 2013 Recent statements by securities regulators emphasize that financial firms need to move beyond a "culture of compliance" to ensure that investors have…

Eliza Sporn Fromberg

CFTC external business conduct standards - temporary relief to foreign exchange transactions

USA - May 8 2013 A no-action letter issued on May 2 provides swap dealers and major swap participants with temporary relief from compliance with External Business…

Eliza Sporn Fromberg

Increased SEC focus on broker-dealer registration issues for private fund managers

USA - April 12 2013 The Securities and Exchange Commission (SEC) is cracking down on private fund managers for not using registered broker-dealers for fundraising. At…

R. Scott Beach, Julia M. Boyd, Samuel A. Jennings, Greg H. Kahn

SEC finds fault with adviser custody practices

USA - March 8 2013 On March 4, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission ("SEC") issued a Risk Alert on…

Julia M. Boyd, Samuel A. Jennings, Greg H. Kahn

New Jersey "angel" tax credit seeks to spur emerging technology investment

USA - February 6 2013 "Angel" investors can receive a new tax credit for investments in New Jersey emerging technology companies. Under the New Jersey Angel Investor Tax…

Michael James Guerriero, Edward A. Sturchio, Jr