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Cole Beaubouef

Cole Beaubouef

Lowenstein Sandler LLP


Latest Publications

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Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

On April 10, 2013, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”, together with the SEC, the “Commissions”) jointly issued final rules to require certain regulated...more

5/20/2013 - CFTC Creditors Dodd-Frank FCRA Final Rules Identity Theft Red Flags Rules SEC

Year-End Developments And Compliance Checklists

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

1/17/2013 - AIFMD American Taxpayer Relief Act Audits Blue Sky Laws CFTC Commodity Pool Compliance CPO CTA Derivatives Dodd-Frank ERISA EU Family Offices FATCA Fiscal Cliff Investment Adviser IRS JOBS Act No-Action Relief Private Investment Funds SEC Swaps Year-End Compliance Checklist

CFTC Grants No-Action Relief to Certain Family Offices and Funds-of-Funds from Registration as CPOs

The Commodity Futures Trading Commission's ("CFTC’s") Division of Swap Dealer and Intermediary Oversight (the “Division”) recently provided no-action relief to certain family offices and certain managers of funds-of-funds...more

12/11/2012 - CFTC Commodity Pool Family Offices No-Action Relief Swap Dealers

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