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Registration › Investment Adviser › European Union

Broker-Dealer Compliance + Regulation

Non-U.S. broker-dealers and investment advisers may have U.S. registration requirements when existing clients relocate to the...

Broker-Dealer Compliance + Regulation on

The SEC recently reminded non-U.S. broker-dealers and advisers with clients that relocate to the United States that they may be required to register under the U.S. securities laws. On July 31, 2013, the SEC sanctioned a...more

Dechert LLP

AIFMD: Impact on US Investment Advisers

Dechert LLP on

In This Issue: - Introduction - Overview: Four key ways that US investment advisers are affected by AIFMD - Marketing funds in the EEA - Managing EEA domiciled funds - Sub-adviser to an EEA manager ...more

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