Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights October 18, 2017 Client Update Tighter UK Foreign Investments Rules on the Horizon On 17 October 2017, the UK Department for Business, Energy & Industry Strategy published a Green Paper setting out the UK ... October 11, 2017 Client Update Review of Volcker Rule Comment Letters The Office of the Comptroller of the Currency (the “OCC”) took a first formal step in evaluating how the regulations i... September 29, 2017 Client Update Investment Management Regulatory Update - September 2017 Industry Update SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendmen... August 31, 2017 Client Update Investment Management Regulatory Update - August 2017 Rules and Regulations SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms SEC’s Acting Direct... August 4, 2017 Client Update The Countering America’s Adversaries Through Sanctions Act Becomes Law On August 2, 2017, President Trump signed into law the Countering America’s Adversaries Through Sanctions Act of 2017 (t... July 28, 2017 Client Update Investment Management Regulatory Update - July 2017 Rules and Regulations SEC Updates Form ADV Frequently Asked Questions Interacting with Retirement Investors under the ... June 26, 2017 Client Update Investment Management Regulatory Update - June 2017 Rules and Regulations SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State ... June 21, 2017 Articles & Books Allocating Fees and Expenses: The SEC Is Paying Close Attention In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Ex... June 6, 2017 Client Update Securities Enforcement Update: Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions On June 5, 2017, the Supreme Court decided Kokesh v. SEC, and unanimously held that the five-year statute of limitations ... May 25, 2017 Client Update Investment Management Regulatory Update - May 2017 Rules and Regulations SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act House Fina... Load More
October 18, 2017 Client Update Tighter UK Foreign Investments Rules on the Horizon On 17 October 2017, the UK Department for Business, Energy & Industry Strategy published a Green Paper setting out the UK ...
October 11, 2017 Client Update Review of Volcker Rule Comment Letters The Office of the Comptroller of the Currency (the “OCC”) took a first formal step in evaluating how the regulations i...
September 29, 2017 Client Update Investment Management Regulatory Update - September 2017 Industry Update SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendmen...
August 31, 2017 Client Update Investment Management Regulatory Update - August 2017 Rules and Regulations SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms SEC’s Acting Direct...
August 4, 2017 Client Update The Countering America’s Adversaries Through Sanctions Act Becomes Law On August 2, 2017, President Trump signed into law the Countering America’s Adversaries Through Sanctions Act of 2017 (t...
July 28, 2017 Client Update Investment Management Regulatory Update - July 2017 Rules and Regulations SEC Updates Form ADV Frequently Asked Questions Interacting with Retirement Investors under the ...
June 26, 2017 Client Update Investment Management Regulatory Update - June 2017 Rules and Regulations SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State ...
June 21, 2017 Articles & Books Allocating Fees and Expenses: The SEC Is Paying Close Attention In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Ex...
June 6, 2017 Client Update Securities Enforcement Update: Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions On June 5, 2017, the Supreme Court decided Kokesh v. SEC, and unanimously held that the five-year statute of limitations ...
May 25, 2017 Client Update Investment Management Regulatory Update - May 2017 Rules and Regulations SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act House Fina...