Curtis Stefanak
Dentons
Articles
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…
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…
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").
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.
