Financial services providers that are subsidiaries of a non-U.S. parent (or that have received substantial direct investment from abroad) should evaluate whether they are required to file the Benchmark Survey of Foreign Direct...more
Overview -
The Securities and Exchange Commission, by a vote of three-to-one, proposed for public comment on May 25, 2022, a long-anticipated framework requiring certain registered funds and certain investment advisers to...more
6/30/2022
/ Corporate Social Responsibility ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Funds ,
Regulatory Agenda ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more
2/9/2022
/ Beneficial Owner ,
CFTC ,
Cooperative Compliance Regime ,
Employee Retirement Income Security Act (ERISA) ,
Financial Services Industry ,
Investment Adviser ,
Large Traders ,
Private Funds ,
Private Placements ,
Reporting Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more
Asset managers across geographies and asset classes are increasingly incorporating environmental, social and governance (“ESG”) considerations at all levels of the investment management business. Increased focus on ESG has...more
In September and October 2020, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) is administering its next mandatory Benchmark Survey of Financial Services Transactions between U.S. Financial Services...more
10/14/2020
/ Asset Management ,
Banks ,
BE-180 ,
BEA ,
Benchmarks ,
Broker-Dealer ,
Collateralized Loan Obligations ,
Cross-Border Transactions ,
Data Collection ,
Financial Services Industry ,
Fund Managers ,
Surveys
In September and October 2020, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) will administer its next mandatory Benchmark Survey of Financial Services Transactions between U.S. Financial Services...more
9/20/2020
/ Aggregation Rules ,
Asset Management ,
Banks ,
BE-180 ,
BEA ,
Benchmarks ,
Broker-Dealer ,
Cross-Border Transactions ,
Electronic Filing ,
Filing Deadlines ,
Financial Services Industry ,
Foreign Investment ,
Insurance Industry ,
Surveys
Financial services providers that have non-U.S. affiliates should evaluate whether they are required to file the Benchmark Survey of U.S. Direct Investments Abroad (BE-10). Even if a firm has reported on BE-10 in the past,...more
4/29/2020
/ Asset Management ,
BEA ,
Benchmarks ,
Coronavirus/COVID-19 ,
Filing Deadlines ,
Financial Services Industry ,
Foreign Affiliates ,
Foreign Direct Investment ,
Form BE-10 ,
Multinationals ,
Pooled Investment Vehicles ,
Private Funds ,
Reporting Requirements ,
Surveys ,
Time Extensions ,
U.S. Commerce Department ,
Voting Shares
Institutional investors, asset managers and others in the financial services industry increasingly are adopting environmental, social and governance (“ESG”) investment principles to attract and retain business from socially...more
6/3/2019
/ Antiboycott Requirements ,
Asset Management ,
Blacklist ,
Bureau of Industry and Security (BIS) ,
Disclosure Requirements ,
Divestiture ,
Economic Sanctions ,
Environmental Social & Governance (ESG) ,
EU ,
Financial Services Industry ,
Global Economy ,
Institutional Investors ,
Iran ,
IRS ,
Israel ,
Middle East ,
Popular ,
Public Pension ,
Publicly-Traded Companies ,
Sanction Violations ,
Securities and Exchange Commission (SEC) ,
Sudan ,
United Nations ,
United States
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more
1/31/2019
/ Commodities Traders ,
Commodity Exchange Act (CEA) ,
Commodity Pool ,
Compliance ,
CPOs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
NFA ,
Private Funds ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities ,
Securities and Exchange Commission (SEC)
Financial services providers that are subsidiaries of a non-U.S. parent (or that have received substantial direct investment from abroad) should evaluate whether they are required to file the Benchmark Survey of Foreign...more
4/24/2018
/ BEA ,
Benchmarks ,
Filing Deadlines ,
Financial Services Industry ,
Foreign Corporations ,
Foreign Direct Investment ,
Form BE-12 ,
Multinationals ,
Parent Corporation ,
Pooled Investment Vehicles ,
Reporting Requirements ,
Subsidiaries ,
U.S. Commerce Department