Investment Management Archives

January 6, 2015

CFTC Provides Family Office CTA Registration Relief and Limited Recordkeeping Relief Under Regulation 1.35(a)

January 6, 2015

CFTC Annual Affirmations

December 23, 2014

Record-Breaking FCPA Penalty Highlights Risks of Conducting Foreign Business

December 19, 2014

Electronic Blue Sky Notice Filings

December 10, 2014

Second Circuit Overturns Insider Trading Convictions, Requiring Knowledge of Personal Benefit as Element in Tippee Cases

November 10, 2014

UK’s FCA Provides Some AIFMD Relief for Active Marketing of Non-EU Funds by Non-EU Fund Managers

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.”

October 15, 2014

CFTC Issues Self-Executing CPO Delegation Relief

September 19, 2014

Application of Final Rule Implementing Liquidity Coverage Ratio to Brokered Deposits

September 12, 2014

Extension of Period for Adherence to the 2014 ISDA Credit Derivatives Definitions Protocol

September 12, 2014

CFTC Issues Exemptive Relief Allowing CPOs Relying on 4.13(a)(3) or 4.7 to Engage in Limited General Solicitation and General Advertising

Archive

January 6, 2015

CFTC Provides Family Office CTA Registration Relief and Limited Recordkeeping Relief Under Regulation 1.35(a)

January 6, 2015

CFTC Annual Affirmations

December 23, 2014

Record-Breaking FCPA Penalty Highlights Risks of Conducting Foreign Business

December 19, 2014

Electronic Blue Sky Notice Filings

December 10, 2014

Second Circuit Overturns Insider Trading Convictions, Requiring Knowledge of Personal Benefit as Element in Tippee Cases

November 10, 2014

UK’s FCA Provides Some AIFMD Relief for Active Marketing of Non-EU Funds by Non-EU Fund Managers

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.”

October 15, 2014

CFTC Issues Self-Executing CPO Delegation Relief

September 19, 2014

Application of Final Rule Implementing Liquidity Coverage Ratio to Brokered Deposits

September 12, 2014

Extension of Period for Adherence to the 2014 ISDA Credit Derivatives Definitions Protocol

September 12, 2014

CFTC Issues Exemptive Relief Allowing CPOs Relying on 4.13(a)(3) or 4.7 to Engage in Limited General Solicitation and General Advertising

September 11, 2014

The SEC Announces Settlements with Ten Investment Advisers For Violations of Section 13 and Section 16 Reporting under the Exchange Act

August 28, 2014

SEC Adopts Money Market Fund Reforms

August 22, 2014

Ongoing Compliance with the SEC’s Bad Actor Provisions

August 21, 2014

August 29 Deadline for TIC Form SHL