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AIFMD Countdown to Compliance

The deadline of 22 July 2013 for EU Member States to transpose the Alternative Investment Fund Managers Directive (“AIFMD”) into national law is fast approaching....more

7/22/2013 - AIFM AIFMD Compliance Deadlines EU Financial Conduct Authority Fund Managers UK

The Extra-territorial Reach of the Broker-Dealer Registration Requirements Under the U.S. Securities Exchange Act of 1934; the...

Background. Rule 15a-6 under the Securities Exchange Act of 1934 (“Rule 15a-6”) provides conditional exemptions from broker-dealer registration for “foreign broker-dealers” that engage in certain specified activities...more

4/10/2013 - Broker-Dealer Investors Rule 15a-6 SEC Securities Exchange Act

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