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Results:1-10 of 38

Agencies release new Volcker Rule guidance on the ability of non-U.S. banks to invest in third-party covered funds
  • Proskauer Rose LLP
  • USA
  • March 10 2015

On February 27, 2015, the regulatory agencies responsible for implementing the Volcker Rule released a Frequently Asked Question (FAQ) on the Volcker


Exempt reporting advisers (including many non-U.S. advisers) must file partial Form ADV Part 1 by March 30, 2012
  • Proskauer Rose LLP
  • USA
  • February 6 2012

Many advisers that remain exempt from full registration under the new SEC rules may still qualify as "exempt reporting advisers" and must complete and file portions of Part 1A of Form ADV with the SEC not later than March 30, 2012.


SEC registration of many advisers required by March 30, 2012
  • Proskauer Rose LLP
  • USA
  • February 6 2012

Many advisers that were previously exempt from registration with the SEC under the U.S. Investment Advisers Act of 1940 (Advisers Act) must now become registered not later than March 30, 2012.


Volcker Rule status report
  • Proskauer Rose LLP
  • USA
  • February 6 2012

The SEC and other regulators recently extended, until February 13, 2012, the period for submission of comments on the proposed regulations implementing the so-called "Volcker Rule" under the Dodd-Frank Act.


EU Financial Transactions Tax
  • Proskauer Rose LLP
  • European Union
  • February 6 2012

There has been much reported in the press recently about the proposed EU Financial Transactions Tax (FTT) following formal proposals from the EU Commission in October 2011.


EU adopts rules limiting short sales
  • Proskauer Rose LLP
  • European Union
  • February 6 2012

On November 15, 2011, the European Parliament adopted, with amendments, the European Commission's proposal for an EU Short Selling Regulation (SSR).


SEC and CFTC oversight of derivatives: a status report
  • Proskauer Rose LLP
  • USA
  • February 6 2012

The Dodd-Frank Act established the broad outlines of a new regulatory scheme for the over-the-counter derivatives market.


Upcoming U.S. regulatory and filing deadlines
  • Proskauer Rose LLP
  • USA
  • February 6 2012

The March 30, 2012 deadline for SEC registration of many fund managers (and February 14, 2012 deadline to submit the application to the SEC) has received the most attention in the media, but U.S. rules impose a host of new and old reporting obligations on both SEC registered and unregistered investment advisers and even on many unregistered non-U.S. advisers.


SEC advisory on use of social media by investment advisers
  • Proskauer Rose LLP
  • USA
  • February 6 2012

The SEC recently issued a Risk Alert cautioning investment advisers about the use of social media.


SEC amends accredited investor definition
  • Proskauer Rose LLP
  • USA
  • February 6 2012

In December 2011, the SEC amended the "accredited investor" definition under Rule 501(a)(5) of Regulation D to conform to the requirements of Section 413(a) of the Dodd-Frank Act.