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Self-Certification Investors

Proskauer - Regulatory & Compliance

Cancelled in March 2024: Requirements for UK High Net Worth and Self-Certified Investors Changing From 31 January 2024

This post is an update of a previous post. On 27 March 2024, government legislation (Financial Services and Markets Act 2000 (Financial Promotion) (Amendment and Transitional Provision) Order 2024 (SI 2024/301), the “March...more

Stikeman Elliott LLP

OSC Extends Prospectus Exemption for “Self-Certified Investors”

Stikeman Elliott LLP on

The Ontario Securities Commission (“OSC”) recently made OSC Rule 45-508 Extension to Ontario Instrument 45-507 Self-Certified Investor Prospectus Exemption (the “Rule”) to extend relief granted previously in respect of...more

Proskauer - Regulatory & Compliance

Requirements for UK High Net Worth and Self-Certified Investors Changing From 31 January 2024

From 31 January 2024 the exemptions available from the restriction on communicating financial promotions appliable to high net worth (“HNW”) individuals and self-certified investors are changing. The updates are...more

Whitman Legal Solutions, LLC

Simplified Rule 506(c) Investor Verification Takes Effect March 15

Although few might think of securities laws as “simple,” sometimes, laws are more complicated than necessary. That has been the case with accredited investor verification under Rule 506(c). But that will change when a new...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Dechert LLP on

The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

WilmerHale

In Case You Missed It: Launch Links - August, 2016

WilmerHale on

Some interesting links we found across the web this week: - Department of Commerce Now Accepting Privacy Shield - Self-Certifications: A Primer for Compliance and Self-Certification We’ve mentioned many times...more

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