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July 31, 2015
Seward & Kissel Submits Comments to the U.S. Department of Labor on its Proposed Regulation Defining the Term “Fiduciary”
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July 22, 2015
New IRS Proposed Regulations Target Fee Waivers But Have Broader Applicability
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July 17, 2015
Second Circuit Court of Appeals Holds SIPA Does Not Protect Broker/Dealer Repurchase Agreements
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July 9, 2015
SEC Sanctions Registered Investment Adviser for Compliance Failures and Disclosure-Related Violations
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July 1, 2015
SEC Staff Issues Guidance on Reporting of Personal Securities Transactions and Holdings by Advisers’ Access Persons
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June 19, 2015
AIFMD Annual Report Deadline – June 30, 2015
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June 19, 2015
Additional Extension Possible for Form BE-10
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June 4, 2015
Partner Paul Miller authored an article in COO Connect titled, “Asset Managers Now Obliged to Supply More Data to the SEC.”
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June 4, 2015
FINRA Interpretive Letter Permits Related Account Performance Information in Institutional Investor Communications of Registered Funds
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June 2, 2015
SEC Proposes Amendments to Form ADV and Investment Advisers Act Rules
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June 2, 2015
SEC Proposes to Increase Reporting Obligations of Registered Investment Companies
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May 28, 2015
Extension of Form BE-10 Deadline for New Filers
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May 27, 2015
FBAR Filing Due June 30
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May 13, 2015
Private Fund Structures and CLO Risk Retention
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May 8, 2015
2014 Benchmark Survey of U.S. Direct Investment Abroad (Form BE-10)
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