News & Analysis as of

Filing Requirements Strict Compliance

Mayer Brown Free Writings + Perspectives

NYSE Releases Updated Compliance Memo

On January 10, 2019, the staff of NYSE Regulation released its annual memorandum detailing important rules and policies applicable to listed companies....more

Polsinelli

Third Party Administrator Update: TPA Regulatory and Legislative Developments - September 2017

Polsinelli on

Polsinelli is pleased to share the September 2017 Third Party Administrator Newsletter. The link is provided below. This newsletter covers topics throughout the year that impact TPAs. ...more

Kramer Levin Naftalis & Frankel LLP

Funds Talk: March 2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide