Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights June 4, 2013 Client Update The Impact of the Alternative Investment Fund Managers Directive on Non-E.U. Managers of Non-E.U. Funds The Alternative Investment Fund Managers Directive (the Directive) entered into force on July 21, 2011 with E.U. Member St... May 28, 2013 Articles & Books CCOs Must Heed SEC’s Northern Lights Action May 16, 2013 Client Update Investment Management Regulatory Update - May 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Requests Information to Inform Considerati... May 16, 2013 Client Update SEC Proposes Cross-Border Security-Based Swap Rules On May 1, 2013, the Securities and Exchange Commission took long-awaited action to propose rules governing cross-border ac... May 13, 2013 Client Update The SEC’s Northern Lights Enforcement Action: Implications For Fund Directors On May 2, 2013, the Securities and Exchange Commission (the “SEC”) settled charges that the five trustees (the “Trus... May 2, 2013 Client Update FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distrib... April 29, 2013 Client Update Investment Management Regulatory Update - April 2013 SEC Rules and Regulations CFTC and SEC Adopt Identity Theft Rules SEC Staff Responds to Inquiries About Filing Require... April 23, 2013 Client Update Recent European Compensation Developments: Financial Institutions and Beyond Almost half a decade after the onset of the financial crisis, populist sentiment and the resulting political environment c... April 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 2 of 2 In the March 2013 issue of The Investment Lawyer , Part 1 of this article addressed the process by which investment funds ... March 25, 2013 Client Update Investment Management Regulatory Update - March 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF Industry Update SEC Issues Risk Alert Iden... Load More
June 4, 2013 Client Update The Impact of the Alternative Investment Fund Managers Directive on Non-E.U. Managers of Non-E.U. Funds The Alternative Investment Fund Managers Directive (the Directive) entered into force on July 21, 2011 with E.U. Member St...
May 16, 2013 Client Update Investment Management Regulatory Update - May 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF SEC Requests Information to Inform Considerati...
May 16, 2013 Client Update SEC Proposes Cross-Border Security-Based Swap Rules On May 1, 2013, the Securities and Exchange Commission took long-awaited action to propose rules governing cross-border ac...
May 13, 2013 Client Update The SEC’s Northern Lights Enforcement Action: Implications For Fund Directors On May 2, 2013, the Securities and Exchange Commission (the “SEC”) settled charges that the five trustees (the “Trus...
May 2, 2013 Client Update FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distrib...
April 29, 2013 Client Update Investment Management Regulatory Update - April 2013 SEC Rules and Regulations CFTC and SEC Adopt Identity Theft Rules SEC Staff Responds to Inquiries About Filing Require...
April 23, 2013 Client Update Recent European Compensation Developments: Financial Institutions and Beyond Almost half a decade after the onset of the financial crisis, populist sentiment and the resulting political environment c...
April 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 2 of 2 In the March 2013 issue of The Investment Lawyer , Part 1 of this article addressed the process by which investment funds ...
March 25, 2013 Client Update Investment Management Regulatory Update - March 2013 SEC Rules and Regulations SEC Staff Responds to Questions About Form PF Industry Update SEC Issues Risk Alert Iden...