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Results: 1-9 of 9

SEC Releases Fund Liquidity Risk Management Programs Frequently Asked Questions
  • Drinker Biddle & Reath LLP
  • USA
  • January 24 2018

On January 10, 2018, the staff of the Securities and Exchange Commission (SEC) Division of Investment Management released frequently asked questions


New FinCEN Due Diligence Requirements for Legal Entity Customers
  • Drinker Biddle & Reath LLP
  • USA
  • June 15 2016

On May 11, 2016, the Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) released new anti-money Laundering (AML) rules and


The role of managed payout funds in retirement
  • Drinker Biddle & Reath LLP
  • USA
  • October 30 2013

Managed payout funds are mutual funds designed to provide a steady stream of retirement income while still allowing retirees access to their money


CFTC proposes narrowing or eliminating CPO registration exemptions
  • Drinker Biddle & Reath LLP
  • USA
  • March 30 2011

Recently, the CFTC proposed to modify the criteria for claiming exemption from registering as a Commodity Pool Operator (CPO) under Rule 4.5, upon which many mutual funds rely, and to rescind the exemptions from registration as a CPO under Rules 4.13(a)(3) and (a) (4), upon which private funds rely


Industry experts react to FinCEN’s proposed suspicious activity report database
  • Drinker Biddle & Reath LLP
  • USA
  • March 30 2011

The Financial Crimes Enforcement Network (FinCEN) has begun designing a new Bank Secrecy Act (BSA) suspicious activity report database (the Database


Industry comments on FINRA’s disclosure requirement
  • Drinker Biddle & Reath LLP
  • USA
  • March 30 2011

FINRA issued Regulatory Notice 10-54 (the Notice) requesting comment on a concept proposal to require broker-dealers, on or before commencing a business relationship with a retail customer, to provide a disclosure document describing in plain English the accounts and services it offers as well as conflicts of interest and any limitations on the broker-dealer's duties to its retail customers


FBAR regulations released
  • Drinker Biddle & Reath LLP
  • USA
  • March 30 2011

The Treasury Department recently promulgated final regulations under the Bank Securities Act regarding the filing of Form TD F 90-22



Diana E. McCarthy
  • Drinker Biddle & Reath LLP