Publications

To search, simply type in a keyword or search by publication, or topic.

46 results found. Viewing page 1 of 3

Article Title Publication Date
OCIE Publishes Observations from Examinations of Private Fund Advisers BulletPoint July 9, 2020
Coronavirus Regulatory Round-Up for Investment Advisers BulletPoint June 29, 2020
Investment Fund Seeding – Structures and Negotiable Terms BulletPoint June 22, 2020
Paycheck Protection Program: Considerations for Investment Advisors E-Alert April 28, 2020
Coronavirus Update – SEC Provides Relief From Certain Schedule 13F and 13G Filing Requirements  BulletPoint March 31, 2020
CARES Act Provides Tax Relief for Businesses GlobalNote March 31, 2020
Coronavirus Update: SEC Releases Form ADV and Custody Rule FAQs in Response to “Work from Home” Arrangements BulletPoint March 20, 2020
SEC Approves Regulation Best Interest BulletPoint June 10, 2019
Treasury clarifies the qualified opportunity zone program with additional guidance GlobalNote April 2019
Proposed Regulations Clarify Certain Open Issues on the Opportunity Zone Tax Incentive Program GlobalNote October 2018
What U.S.- Based Investment Advisers Should Know BulletPoint June 2018
What U.S.- Based Investment Advisers Should Know BulletPoint June 2018
Criminal Conviction Highlights the Risk of Insider Trading Liability for Using “Political Intelligence” BulletPoint May 2018
Top Six Advisory Fee and Expense Deficiencies Identified by OCIE BulletPoint April 2018
The Tax Cuts and Jobs Act 2 Months Later - Considerations for Hedge Funds, Private Equity Funds and Their Fund Managers GlobalNote March 2018
SEC Announces 2018 Examination Priorities BulletPoint February 2018
So You Want to Manage a Cryptocurrency Fund? U.S. Regulatory Rules to Consider First BulletPoint December 2017
General Data Protection Regulation Affects Investment Advisors with EU Clientele BulletPoint November 2017
“Who Is Who?” and “Who Owns Whom?”- Are You Ready for LEIs? GlobalNote November 2017
SEC Amendments to Form ADV Effective on October 1, 2017 BulletPoint September 2017

( slide table left to right )

46 results found. Viewing page 1 of 3

Print
This Page