Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights September 28, 2016 Client Update Investment Management Regulatory Update - September 2016 SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules S... September 13, 2016 Client Update FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solel... September 1, 2016 Client Update Issue 5: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit and anti-trust Prospects for the Prospectus Directive As we go to press, the UK cabin... August 24, 2016 Client Update Investment Management Regulatory Update – August 2016 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the A... August 19, 2016 Client Update Issue 4: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit – a ‘reset’ of fiscal policy? Brexit’s implications for the regulation of cred... August 5, 2016 Client Update Issue 3: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar The impact of Brexit on the UK’s implementation of TLAC/MREL Bankers’ bonuses and Br... July 26, 2016 Client Update Investment Management Regulatory Update – July 2016 SEC Rules and Regulations SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans Industry U... July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc... July 9, 2016 Client Update Issue 1: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and Calendar The Third Country Passport under MifIR – Panacea for Post Passport Pain? The Impact of... June 27, 2016 Client Update Investment Management Regulatory Update - June 2016 SEC Rules and Regulations SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers ... Load More
September 28, 2016 Client Update Investment Management Regulatory Update - September 2016 SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules S...
September 13, 2016 Client Update FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solel...
September 1, 2016 Client Update Issue 5: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit and anti-trust Prospects for the Prospectus Directive As we go to press, the UK cabin...
August 24, 2016 Client Update Investment Management Regulatory Update – August 2016 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the A...
August 19, 2016 Client Update Issue 4: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit – a ‘reset’ of fiscal policy? Brexit’s implications for the regulation of cred...
August 5, 2016 Client Update Issue 3: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar The impact of Brexit on the UK’s implementation of TLAC/MREL Bankers’ bonuses and Br...
July 26, 2016 Client Update Investment Management Regulatory Update – July 2016 SEC Rules and Regulations SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans Industry U...
July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc...
July 9, 2016 Client Update Issue 1: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and Calendar The Third Country Passport under MifIR – Panacea for Post Passport Pain? The Impact of...
June 27, 2016 Client Update Investment Management Regulatory Update - June 2016 SEC Rules and Regulations SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers ...