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
- CFTC Creditors Dodd-Frank FCRA Final Rules Identity Theft Red Flags Rules SEC
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
- 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
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
- CFTC Commodity Pool Family Offices No-Action Relief Swap Dealers
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