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November 6, 2017
SEC Staff Issues No-Action Letters Providing Relief to Investment Advisers Regarding MiFID II Research Requirements
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October 30, 2017
CFTC Charges Bitcoin Ponzi Scheme
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October 26, 2017
SEC Staff Releases Guidance for U.S. Market Participants Regarding U.S. Regulated Activities and Compliance with MIFID II
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October 20, 2017
October 2017 Compliance Flash
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October 6, 2017
Hedge Fund Adviser Settles SEC Charges for Inadequate Controls to Prevent Insider Trading
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October 6, 2017
New LEI Requirements under MiFID II
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October 4, 2017
Family Office as Investment Advisor under FINRA Rule 5131
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September 29, 2017
FINRA Imposes $13 Million Sanction for Failure to Supervise UIT Sales
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September 27, 2017
SEC’s Division of Investment Management Extends Limited “Loan Rule” Relief
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September 21, 2017
SEC Issues Risk Alert on the Most Frequently Identified Advertising Rule Compliance Issues
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September 15, 2017
The Seward & Kissel 2016/2017 Hedge Fund Side Letter Study
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September 7, 2017
CFTC Considers Virtual Currency Derivatives to be Commodity Interests
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September 5, 2017
DOL Extends the Advice Fiduciary Rule’s Transition Period
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August 30, 2017
Updates on the Section 385 Regulations
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August 30, 2017
IRS Releases 871(m) Guidance, Extends Phase-In of 871(m) Rules – August 2017
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