December 21, 2017

December 2017 Compliance Flash

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December 18, 2017

IRS Proposes to Permit Push-Out Election for Feeder Funds

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December 13, 2017

CFTC Annual Affirmations

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December 13, 2017

SEC Modifies Approach to Form N-PORT Filing Requirements

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December 11, 2017

Bitcoin Futures to Be Listed on Two Major Futures Exchanges

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December 7, 2017

In Its First Action, SEC’s New Cyber Unit Alleges ICO Scam

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December 5, 2017

EU PRIIPs Regulations

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November 8, 2017

Partners Anthony Tu-Sekine and Paul Miller co-authored an article for the Investment Adviser Association’s Compliance Corner titled, “The Hot Money: Cryptocurrencies and Implications for Investment Advisers.”

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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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