The Bureau of Economic Analysis’ (BEA) 2019 benchmark survey1 of financial services transactions between U.S. financial services providers and foreign persons is due on October 30, 2020, for respondents who submit their form...more
What You Need To Know:
•The SEC’s updates to the regulatory framework for fund of funds arrangements will be helpful to registered investment companies.
•Private funds will not be afforded additional flexibility to invest...more
What You Need To Know;
• The Form CRS must be filed with the SEC by June 30, 2020, at the latest.
• All investment advisers, broker-dealers, or dual registrants that service retail investors may now file the Form CRS with the...more
What You Need To Know:
-The implementation date for Reg. BI and Form CRS remains June 30, 2020.
-The SEC’s initial compliance review will be focused on “good-faith efforts.” Firms should make good faith efforts to implement...more