mai 29, 2020
Recently, the SEC announced the settlement of an enforcement case against Morgan Stanley Smith Barney (MSSB) involving charges that MSSB…
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mai 28, 2020
Following an evaluation made by the CME Group, they have come to the decision to wind down the Abide Financial,…
mai 27, 2020
Easy Pickings But Maybe Also Warnings of Valuation Expectations Even With COVID-19 Difficulties Now that we are nearly into…
mai 27, 2020
Investment managers are subject to hundreds of threshold reporting rules throughout Europe, for long holdings, short selling, and dealing disclosures….
mai 20, 2020
The following RegTech Radar update focuses on recent changes in Japan’s Foreign Exchange and Foreign Trade Act (FEFTA) and additional…
mai 12, 2020
We have learned of a potentially major change for New York state and federally covered investment advisers. The New York…
avril 30, 2020
Recently, the SEC settled with a private equity adviser for failing to adequately disclose and obtain consent for conflicts of…
avril 23, 2020
We don’t know when, but at some point we will have to put on shoes, get a haircut and return…
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…