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February 10, 2015
Stock Rights as Compensation Alternative for Investment Fund Managers
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February 9, 2015
Swiss Distribution Rules
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January 26, 2015
Annual Regulatory Reminders (2015)
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January 20, 2015
Simmons & Simmons Memorandum: Update: Regulatory reporting by non-EU AIFMs to the UK’s FCA under AIFMD (Annex IV reporting)
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January 20, 2015
New HSR Filing Thresholds (2015)
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January 15, 2015
AIFMD Annex IV Reporting in the UK
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January 13, 2015
SEC Announces 2015 Examination Priorities
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January 6, 2015
CFTC Provides Family Office CTA Registration Relief and Limited Recordkeeping Relief Under Regulation 1.35(a)
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January 6, 2015
CFTC Annual Affirmations
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December 23, 2014
Record-Breaking FCPA Penalty Highlights Risks of Conducting Foreign Business
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December 19, 2014
Electronic Blue Sky Notice Filings
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December 10, 2014
Second Circuit Overturns Insider Trading Convictions, Requiring Knowledge of Personal Benefit as Element in Tippee Cases
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November 10, 2014
UK’s FCA Provides Some AIFMD Relief for Active Marketing of Non-EU Funds by Non-EU Fund Managers
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November 6, 2014
Partner Paul Miller and associate Anna Leist authored an article for the Investment Adviser Association’s Compliance Corner titled, “Proxy Voting by Investment Advisers: One Sentence and Eleven+ Years of Experience.”
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October 15, 2014
CFTC Issues Self-Executing CPO Delegation Relief
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