SEC/Corporate -
SEC Releases Rule 504 Small Entity Compliance Guide for Issuers -
The Securities and Exchange Commission recently released a Small Entity Compliance Guide for Issuers, which provides a brief summary...more
2/6/2017
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Conflict Mineral Rules ,
EDGAR ,
Electronic Blue Sheets ,
Electronic Filing ,
EMIR ,
EU ,
European Economic Area (EEA) ,
Form SHC ,
MiFID II ,
No-Action Relief ,
Rule 504 ,
UK ,
UK Brexit
On October 13, the European Securities and Markets Authority (ESMA) published the text of a speech made by its chairman, Steven Maijoor, to the European Parliament regarding ESMA’s ongoing work involving potentially providing...more
BROKER-DEALER -
FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities -
The Financial Industry Regulatory Authority issued a regulatory notice...more
10/19/2015
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
CFTC ,
Commodity Exchange Act (CEA) ,
Debt Securities ,
Disclosure Requirements ,
Dividends ,
EU ,
European Commission ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Funds ,
NFA ,
No-Action Relief ,
OCC ,
Proposed Regulation ,
Swaps ,
Withholding Tax
On September 14, the Financial Conduct Authority (FCA) published an update announcing changes to GABRIEL (Gathering Better Regulatory Information Electronically), its online reporting, data validation and filing portal....more
On September 3, the Financial Conduct Authority (FCA) published a consultation paper covering changes to its handbook of rules for Undertakings for the Collective Investment of Transferable Securities (UCITS) funds and other...more
On July 23, the European Securities and Markets Authority (ESMA) published a consultation paper assessing new guidelines on sound remuneration policies under the UCITS V Directive and the Alternative Investment Fund Managers...more
On January 28, the Dutch regulator (Authority for Financial Markets (AFM)) announced that the Alternative Investment Fund Managers (AIFM) Directive’s Annex IV reporting obligation has been postponed for non-EU managers until...more
In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S
- SEC Announces Proxy Voting Roundtable
- CFTC Staff Issues No-Action Relief From Certain...more
2/2/2015
/ AIFM ,
Anti-Money Laundering ,
Brokers ,
C&DIs ,
CFTC ,
Clawbacks ,
CME NYMEX ,
EU Directive ,
Forex ,
Insider Trading ,
Major Swap Participants ,
Netherlands ,
No-Action Relief ,
Proxy Voting Guidelines ,
Regulation S ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
UK
The European Securities and Markets Authority’s (ESMA’s) final advice to the European Commission, which may (if the European Commission concurs) be transposed into new rules under the revised and re-cast Markets in Financial...more
In this issue:
- SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking
- FINRA Issues Notice on TRACE Trade Reporting Obligations
- NFA Issues Guidance on Exempt and Excluded...more
12/8/2014
/ AIFM ,
Bank Secrecy Act ,
Banks ,
Bitcoin ,
BitLicense ,
C-Suite Executives ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
EU Data Protection Laws ,
False Statements ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Funds ,
JOBS Act ,
NFA ,
OCC ,
Proposed Amendments ,
Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
TRACE ,
Whistleblower Awards
In this issue:
- Proxy Advisory Firms Release Policy Updates for 2015
- CBOE Makes Enhancements to Its Market-Maker Trade Notification System
- OTC Derivatives Regulators Group Issues Report to G20...more
11/17/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
CBOE ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
G20 ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Market Making ,
Over The Counter Derivatives (OTC) ,
Prepaid Payment Products ,
Proxy Season ,
Proxy Voting Guidelines
Now that three months have passed since the Alternative Investment Fund Managers (AIFM) Directive became binding law in all European Union jurisdictions, US private fund managers (whether hedge funds, private equity funds or...more
In this issue:
- Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits
- FINRA Remarks at the National Society of Compliance Professionals...more
10/27/2014
/ AIFM ,
Business Judgment Rule ,
CFTC ,
Enforcement Actions ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
High Frequency Trading ,
IOSCO ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders
On August 28, the final text of a Directive to update Directive 2009/65/EC (UCITS IV Directive) on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in...more
On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund...more