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675 results found

Article

Quarles & Brady LLP | USA | 6 Jun 2019

Tippee insider trading remains a top DOJ priority

Shortly before his recent departure, former Deputy Attorney General Rod J. Rosenstein stated that the Department of Justice was "fighting corporate

Article

Schulte Roth & Zabel LLP | USA | 2 May 2019

New NFA Proficiency Requirements for Hedge Fund Managers

The National Futures Association, the self-regulatory organization for the commodity futures and swaps industry, recently updated its rules1 to

Article

Robinson & Cole LLP | USA | 30 Apr 2019

2019 Investment Adviser Update - Make Sure You Don't Have a "Communication Breakdown"

The rules and regulations governing private equity and hedge fund advisers continue to develop in response to changes in technology, particularly in

Article

Baker & Hostetler LLP | USA, Australia, United Kingdom, etc. | 2 Apr 2019

2018 Year-End Cross-Border Government Investigations and Regulatory Enforcement Review

In the second year of the Trump administration, U.S. white collar law enforcement priorities became clearer, particularly with regard to

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

Audio

Ropes & Gray LLP | USA | 19 Mar 2019

Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown

This Ropes & Gray podcast series highlights developments in Washington, D.C., affecting private funds and their legal, regulatory and compliance

Article

Sidley Austin LLP | USA, United Kingdom, European Union | 13 Mar 2019

EMIR REFIT: Impact on Asset Managers

Key changes to the scope of EMIR which asset managers should be aware of as a result of EMIR REFIT are

Article

Ropes & Gray LLP | USA | 8 Feb 2019

Ropes & Gray’s Investment Management Update - December 2018-January 2019

On December 18, 2018, the SEC issued an order in an administrative proceeding against an investment adviser (the “Adviser”) for its alleged

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

Wilmer Cutler Pickering Hale and Dorr LLP | USA | 31 Jan 2019

2018 CFTC Year-In-Review

For the Commodity Futures Trading Commission (CFTC or Commission), 2018 was characterized by (1) an active enforcement program emphasizing cooperation

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