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575 results found

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

K&L Gates | USA | 27 Jun 2018

Metamorphosis: Digital Assets and the U.S. Securities Laws

In the past year, the U.S. Securities Exchange Commission (“SEC”) and Chairman Jay Clayton have repeatedly cautioned the cryptocurrency and initial

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 26 Jun 2018

Justices Call Foul on SEC's Home Court Advantage

After the passage of the Dodd-Frank Act in 2010, the Securities and Exchange Commission increasingly began to rely on internal administrative

Article

Latham & Watkins LLP | USA, Singapore, United Kingdom, etc. | 3 May 2018

Global Developments on Best Execution

Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development

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

Latham & Watkins LLP | USA | 26 Mar 2018

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs), impose numerous yearly reporting and compliance

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

Article

Sidley Austin LLP | USA | 28 Feb 2018

2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the

Article

Kramer Levin Naftalis & Frankel LLP | USA | 1 Aug 2017

Funds Talk: August 2017

In the most recent example of federal regulatory Streamlining, the Commodity Futures Trading Commission (CFTC) announced on July 10 that it will

Article

Winston & Strawn LLP | USA | 11 Jul 2016

Financial Services Update, vol. 11, no. 25

The Securities and Exchange Commission (“SEC”) was busy on June 28, 2016, proposing rules and making announcements that, if ratified, will

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