- Regulatory Updates:
CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that are Commodity Pools; SEC’s Final Rules on General Solicitation and Bad Actor Disqualification for Investment...more
Recently, the Securities and Exchange Commission (“SEC”) and other U.S. financial regulators (collectively, “Regulators”) issued important guidance related to the need for industry participants to maintain business continuity...more
We are entering the height of hurricane season on the East Coast, a good time to reflect on how it could impact your business.
As explained by the SEC in a recent National Exam Program Alert, the Advisers Act requires...more
On August 27, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding business continuity and disaster recovery planning for investment advisers....more
- Private Fund Issuers’ Use of New SEC Rule 506(c) Hardly a “Slam Dunk”
- Advisers Need to Revisit Their Business Continuity Plans.
On August 16, 2013, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, the Financial Industry Regulatory Authority and the Commodity Futures Trading Commission’s Division of Swap...more
Last Friday, the SEC, FINRA and CFTC issued joint guidance (Joint Guidance) on the "best practices and lessons learned" from their review of the business continuity and disaster recovery plans of firms as a result of the...more
In This Issue:
- (UK) The Validity Of Exit Consents Under English Law
- (UK) When A Charity Faces Financial Difficulty
- (UK) Are You At Risk From Financial Distress In Your Supply Chain?
- (Global Europe)...more