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429 results found

Article

Ulmer & Berne LLP | USA | 19 May 2017

WannaCry Virus Triggers SEC Security Alert To BDs And Investment Management Firms

We are now one week into the worldwide cyberattack known as the WannaCry virus, which targets computers running Microsoft Windows operating systems

Article

K&L Gates | USA | 2 Mar 2017

SEC guidance on roboadvice

The US Securities and Exchange Commission’s staff has published information and guidance for investors and the financial services industry on the

Article

Deacons | China | 21 Jul 2016

A breakthrough for foreign fund managers on China access: new WFOE opportunities

On 30 June 2016, the Asset Management Association of China (AMAC) released the Tenth FAQs on the Relevant Questions Regarding the Registration and

Article

Ropes & Gray LLP | USA | 4 Aug 2015

Examination and other regulatory developments

In recent remarks, Igor Rozenblit, the head of the Private Funds Unit at the U.S. Securities and Exchange Commission (the “SEC”) urged advisers

Article

Arent Fox LLP | USA | 14 Sep 2010

The Dodd-Frank Act: a brief summary of its impact on Regulation D private offerings, non-accelerated filers, fiduciary standards for registered representatives and investment advisers, and private fund advisers

On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act), a broad overhaul of the nation's financial regulatory system.

Article

Schulte Roth & Zabel LLP | United Kingdom | 5 Aug 2010

FSA asserts new financial stability information-gathering powers

On 23 July 2010, the UK's financial regulator, the Financial Services Authority ("FSA") published its consultation paper CP 1018 - Feedback on CP 1011, final rules and further consultation ("CP 1018")1 which incorporates the final text of the new Financial Stability and Market Confidence sourcebook ("FINMAR")2.

Article

Quarles & Brady LLP | USA | 30 Jul 2010

Implications of Dodd-Frank Wall Street Reform and Consumer Protection Act for private equity community

On July 15, 2010, the United States Senate passed the House-approved Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), which was signed by President Obama on July 21, 2010.

Article

Katten Muchin Rosenman LLP | USA | 23 Jul 2010

SEC report recommends defining life settlements as “securities”; GAO releases separate study

On July 22, the Securities and Exchange Commission released a staff report recommending that life settlements be clearly defined as "securities" for purposes of the federal securities laws in order to better protect investors.

Article

Eversheds Sutherland (US) LLP | USA | 22 Jul 2010

It’s signed, now for the hard part: what your board needs to know about corporate governance and executive compensation provisions in the Dodd-Frank Act

The wait for financial regulatory reform legislation is over.

Article

Herrick Feinstein LLP | USA | 22 Jul 2010

Impact of new financial reform legislation

President Obama has signed into law the Private Fund Investment Advisers Registration Act of 2010 (the "Act") as part of the broader Dodd-Frank Wall Street Reform and Consumer Protection Act, which enacts sweeping changes to the U.S. financial regulatory system intended to address both the causes of the recent financial crisis and other perceived gaps in U.S. financial regulation.

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