Curtis Stefanak



Results 1 to 5 of 6

Non-EU investment managers must comply with EU AIFMD by July 22, 2014

European Union - July 17 2014 The EU Alternative Investment Fund Managers Directive (the "AIFMD"), approved by the European Parliament in June 2011, established a new regulatory…

Walter Van Dorn, Elana M. Hahn, Stephan J. Mallenbaum, Paul Morel

SEC (OCIE) Cybersecurity Initiative

USA - May 12 2014 The US Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a National Exam Program Risk…

Walter Van Dorn, Andy Roth, Jerome Walker

New obligations for SEC regulated entities under SEC identity theft rules

USA - April 15 2013 Identity theft is a serious privacy and security problem that has escalated in recent years as more and more business functions move online. To keep…

Walter Van Dorn, Matthew Dyckman, Andy Roth

SEC to review status of mortgage-related pools under the Investment Company Act and the Section 3(c)(5)(c) exemption

USA - October 31 2011 The SEC has issued a concept release (the "Concept Release") in which it announced its intention to review the exemption from investment company registration under Section 3(c)(5)(C) of the Investment Company Act and its applicability to companies that are engaged in the business of acquiring mortgages and related instruments ("mortgage-related pools"), particularly real estate investment trusts ("REITs").

Walter Van Dorn, Tom Hanley, Richard D. Simonds Jr.

SEC adopts final rules defining scope of "family office" exclusion from the definition of "investment adviser"

USA - July 20 2011 The U.S. Securities and Exchange Commission recently adopted Rule 202(a)(11)(G)-1 under the Investment Advisers Act of 1940 defining the scope of the "family office" exclusion from the definition of investment adviser.

Walter Van Dorn, Paul A. Gajer, Ira Roxland