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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
November 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 31, 2014
Momentive Court’s Ruling Shows Weaknesses of First Lien/Second Lien Intercreditor Agreements
October 15, 2014
CFTC Issues Self-Executing CPO Delegation Relief
September 2014
Associate Jeffrey Dine authored an article in Intellectual Property Magazine (September 2014) titled, “Aereo Crashes in Copyright Battle.”
Fall 2014
Employment Law News – Fall 2014
September 19, 2014
Application of Final Rule Implementing Liquidity Coverage Ratio to Brokered Deposits
September 16, 2014
Capital Markets Bulletin: The SEC Announces Settlements with Public Companies and Certain Insiders for Violating Laws Requiring Beneficial Ownership and Transaction Reports
September 15, 2014
The U.S. Expands the Scope of Sectoral Sanctions By Further Targeting Russia’s Energy, Defense and Financial Services Sectors
September 12, 2014
Extension of Period for Adherence to the 2014 ISDA Credit Derivatives Definitions Protocol
September 11, 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
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