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Investment Fund Law Blog Blog

Articles: 1-10 of 12

The Joke’s on Us! - SEC Demonstrates Sense of Humor and Serious Lessons about Fraudulent Coin Offerings

USA - May 23 2018 The rapid growth of cryptocurrency markets, digital asset products and initial coin offerings (ICOs), and the alarmingly high number of fraudulent ICO…

Investment Funds Authority Ildiko Duckor Demystifies Quant Funds and Their Risks

USA - May 22 2018 Pillsbury Investment Funds practice co-leader Ildiko Duckor recently spoke with The Hedge Fund Law Report about the strategies and risks inherent in…

SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Advisers

USA - September 15 2017 The Office of Compliance Inspections and Examinations (OCIE) of the SEC issued a Risk Alert yesterday providing a list of the most frequently…

T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transactions

USA - September 6 2017 T+2 Settlement becomes mandatory for most broker-dealer transactions on September 5. While Rule 15c6-1(d) allows, in connection with firm commitment…

DOL Fiduciary Rule—Recommended Action for Private Fund Managers

USA - June 13 2017 On June 9, 2017, the Department of Labor (DOL) regulation updating the definition of “fiduciary” for purposes of ERISA became effective, along with a…

New EU Data Protection Law May Impact US Managers

European Union, USA - May 24 2017 The new EU data protection framework, called the General Data Protection Regulation (GDPR), will take effect in May 2018. These new laws will…

CFTC Unanimously Approves Amendments to Recordkeeping Requirements

USA - May 23 2017 In a press release today, The U.S. Commodity Futures Trading Commission (the “Commission”) unanimously approved a final rule amending Regulation 1.31…

Registered Firms: Annual Compliance Obligations-- What you need to know

European Union, United Kingdom, USA - February 16 2017 The following are some of the important annual compliance obligations investment advisers either registered with the Securities and Exchange…

Higher Qualified Client Net Worth Threshold Effective August 15, 2016

USA - September 21 2016 The Securities and Exchange Commission (the “SEC”) issued an order on June 14, 2016 raising the net worth threshold for “qualified clients” in Rule…

Investment Adviser Sanctioned for Inadequate Trading Away Disclosure

USA - July 27 2016 On July 14, 2016, the Securities and Exchange Commission (SEC) announced an enforcement action against RiverFront Investment Group, LLC, a registered…