Stealth Lawyer: Eli Broverman, Financial Startup Co-Founder
In this issue:
- NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers
- FINRA’s Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time
The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more
Harneys continues to monitor developments related to the EU’s AIFMD with a focus on how it will affect our clients in the Cayman Islands and BVI. The most significant recent development is that the AIFMD Level 2 Regulation...more
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
On 11 January 2013, HM Treasury published its first consultation on Alternative Investment Fund Managers Directive (AIFMD) implementation in the UK, entitled "Transposition of the Alternative Investment Fund Managers...more
Adoption of the regulation accelerates implementation of the Alternative Investment Fund Managers Directive throughout the EU.
The European Commission adopted the long-heralded Alternative Investment Fund Managers...more
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