INTRODUCTION - On 26 August 2020, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to Rule 501(a) of Regulation D promulgated under the Securities Act of 1933, as amended (the Securities Act), which...more
OPEN MEETING OUTCOME -
At an Open Meeting on August 21, 2019, the Securities and Exchange Commission (the “Commission” or “SEC”) voted three to two in favor of publishing guidance (the “Guidance”) addressing the...more
The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert on October 31, 2018 identifying the most frequent deficiencies that OCIE staff (the “Staff”)...more
Changes to the UCITS Directive (known as “UCITS V”) were published in the Official Journal of the European Union and came into force on 17 September 2014. EU Member States are required to transpose UCITS V into national law...more
10/15/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Banking Sector ,
Banks ,
Bernie Madoff ,
Compliance ,
Consumer Financial Products ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Instruments ,
Financial Markets ,
Hedge Funds ,
Investment ,
Investment Adviser ,
Investment Management ,
Investors ,
Lehman Brothers ,
Member State ,
Regulatory Standards ,
Risk Management ,
UCITS