avril 23, 2020
We don’t know when, but at some point we will have to put on shoes, get a haircut and return…
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avril 22, 2020
It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…
avril 20, 2020
On March 27, ESMA published a consultation on changes to the technical standards of trade reporting under the EMIR Refit…
avril 7, 2020
The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…
avril 3, 2020
We understand that COVID-19 has brought many stresses, both personal and professional. To many private fund advisers, this may seem…
avril 2, 2020
Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce…
mars 30, 2020
The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry…
mars 27, 2020
In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…
mars 26, 2020
On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the…
24 mars 2020
On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…
mars 23, 2020
During the last week, the CFTC issued several no-action letters aimed at providing temporary relief from certain recordkeeping, operations requirements,…
mars 19, 2020
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…