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Results: 1-10 of 625

OCIE Releases Risk Alert Regarding the Fees and Expenses that Investment Advisers Charge Clients
  • Bracewell LLP
  • USA
  • May 14 2018

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released a Risk Alert that


Cross-Border Implementation of MiFID II Research Provisions SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance
  • Schulte Roth & Zabel LLP
  • USA
  • October 26 2017

On Oct. 26, 2017, the U.S. Securities and Exchange Commission (“SEC”) published three temporary no-action letters providing U.S. broker-dealers and


Auditor Held to Owe Duty to “Client’s Clients”
  • Borden Ladner Gervais LLP
  • Canada
  • September 7 2017

In Lavender v. Miller Bernstein LLP, Justice Belobaba heard a motion by the representative plaintiff for summary judgment on several of the common


NI 31-103 Amendments: EMDs Banned from Prospectus Offerings
  • Stikeman Elliott LLP
  • Canada
  • August 3 2017

Under a series of amendments to National Instrument 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations published on


CSA amendments to NI 31-103 and NI 33-109 to enhance custody requirements and housekeeping changes
  • McMillan LLP
  • Canada
  • July 27 2017

On July 27, 2017, the Canadian Securities Administrators ("CSA") published final amendments to National Instrument 31-103 Registration Requirements


SEC Staff Identifies Several Paths to “Inadvertent Custody” Under the Advisers Act Custody Rule
  • K&L Gates
  • USA
  • March 1 2017

Last week, the staff of the Securities and Exchange Commission (“SEC”) clarified its views on certain arrangements that can result in investment


MAS Proposes Enhanced Requirements for Protection of Client Moneys and Assets held by Capital Markets Intermediaries
  • Shook Lin & Bok LLP
  • Singapore
  • August 9 2016

On 19 July 2016, the Monetary Authority of Singapore (“MAS”) issued a consultation paper proposing various enhancements to the regulatory regime


SEC Increases Dollar Amount of the Net Worth Threshold Test for ‘Qualified Clients’ in Rule 205-3 Under the Investment Advisers Act of 1940
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2016

Section 205 under the Investment Advisers Act of 1940 generally prohibits a federally registered investment adviser (RIA) from receiving compensation


Net worth threshold for "qualified clients" under Investment Advisers Act will increase effective 8152016
  • DLA Piper
  • USA
  • July 6 2016

Effective as of August 15, 2016, the net worth threshold for qualified clients under Investment Advisers Act Rule 205-3 will increase from $2 million


MF Global? UK update
  • Reed Smith LLP
  • United Kingdom
  • November 7 2011

The UK special administrators have provided some information for clients with positions with MF Global UK Limited