Table of contents
To review recent enforcement actions in which the Securities and Exchange Commission (“SEC”) enforced Rule 21F-17(a) under the Securities Exchange Act, which prohibits…
Cross border master-feeder arrangements: SEC staff slightly expands utility of offshore feeders for global investment management firms, but tax and other challenges remainMark Amorosi, George Zornada, Todd Gibson, Joel Almquist, Pablo J. Man
To analyze the recent SEC no-action relief allowing a non-US investment company to invest as a feeder fund in a US registered open-end management investment company…
To introduce and analyze recent amendments to the rules of three US securities exchanges to add specific continued listing standards applicable to exchange-traded funds (ETFs).
US securities and exchange commission’s division of investment management issues guidance regarding robo-advisersStephanie M. Monaco, Amy Ward Pershkow, Leslie S. Cruz, Peter M. McCamman, Andrew D. Getsinger, Adam Kanter
To explain a guidance update issued in February 2017 by the staff of the Division of Investment Management (Staff) at the US Securities and Exchange Commission (SEC) on…
SEC publishes important guidance on the Custody Rule, participating affiliate arrangements, robo-advisers, Form PF and certain compliance topicsJoyce E. Larson, Kara J. Brown, Ivet A. Bell
To highlight guidance issued by the US Securities and Exchange Commission (SEC) for the benefit of investment advisers regarding certain obligations under the Investment…
To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to…
To summarize recent FINRA guidance on social media and digital communications published in Regulatory Notice 17-18.
To explain and analyze two Enforcement Advisories that set forth the factors the US Commodity Futures Trading Commission Division of Enforcement may consider in assessing…
To explain the inherent risks, draw attention to SEC and FINRA guidance, and suggest ways to limit and control the sale of structured securities to retail investors.
To inform readers of new FINRA Rule 2165 and amended FINRA Rule 4512, which are aimed at protecting seniors from financial exploitation.
Money laundering: further clarity provided by the Court of Appeal on the operation of the consent regimeDaren Allen
To summarise a key development that provides clarity for banks on the operation of the money laundering provisions in the UK Proceeds of Crime Act 2002.
To explain the UK government’s long-awaited reforms to limited partnership law.
To review the FCA’s new enforcement process, drawing on what we believe are the positives and negatives and how the FCA should further improve the enforcement process.
To remind sponsors to adopt an attitude of “professional skepticism” in Hong Kong IPOs.
Investment recommendations under the Market Abuse Regulation (MAR) – operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)Lorenzo Parola, Francesco Falco
Analysis of the guidelines on investment recommendations (“Guidelines”) issued by the Italian Securities and Exchange Commission (“CONSOB”) on the application of the EU…
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Henry A. Davis