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502 results found

Article

Ropes & Gray LLP | USA | 5 Jun 2019

Ropes & Gray’s Investment Management Update - April-May 2019

As we prepared this Update for distribution, at its June 5 meeting, the SEC finalized or published the following items. These items will be the

Article

Sidley Austin LLP | USA, United Kingdom, OECD, etc. | 25 Mar 2019

Sidley global insurance review

The insurance industry is global in nature. Insurers and reinsurers are critically important to the world economy. They assume and transfer all

Article

Latham & Watkins LLP | USA | 1 Feb 2019

CFTC Seeks to Amend Commodity Pool Regulations

The US Commodity Futures Trading Commission (CFTC) has proposed amendments to its regulations in order to ease the registration and compliance burdens

Article

Winston & Strawn LLP | USA | 25 Jan 2019

Reminder of Annual Requirements for Investment Managers - 2019

An Investment Manager that is registered with the SEC as an investment adviser (a “Registered Manager”) under the Investment Advisers Act of 1940, as

Article

Weil Gotshal & Manges LLP | USA | 22 Jan 2019

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Over the course of the last year, there have been a number of regulatory developments affecting private funds and their investment advisers that

Article

Shearman & Sterling LLP | United Kingdom, European Union, Global | 30 Nov 2018

Financial Regulatory Developments Focus

UK Parliamentary Committee Launches Inquiry into Operational Resilience in the Financial Services Sector On November 23, 2018, the U.K. Treasury

Article

Sullivan & Cromwell LLP | USA | 5 Nov 2018

SEC Provides Relief to Security-Based Swap Dealers from Business Conduct Rules: Relief From Certain Documentation Requirements Under the SEC’s Business Conduct Rules Would Apply for Five Years After the Registration Requirement Takes Effect

On October 31, 2018, the U.S. Securities and Exchange Commission (“SEC”) issued a statement (the “Statement”) setting forth its position that failing

Article

Sidley Austin LLP | USA | 12 Jul 2018

Investment Funds, Advisers and Derivatives - Mid-Year Recap of Our 2018 Client Updates

As the developments affecting the investment management industry continue to unfold, we have once again prepared our semi-annual compendium of

Article

Cadwalader Wickersham & Taft LLP | USA | 26 Apr 2018

Choose One: Best Interest or Full Service

On April 18, the SEC approved the publication of three releases (the "Releases") proposing new regulatory requirements that are intended to expand and

Article

Pillsbury | USA, United Kingdom, OECD, etc. | 12 Mar 2018

Annual Compliance Obligations What you Need to Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with

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