Publications

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Article Title Publication Date
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
Overview of Data Privacy and Cybersecurity Regulatory Landscape for Investment Advisers and Other Financial Services Companies Cyber & Privacy Alerts May 2017
The Law of Insider Trading: A Primer For Investment Managers Other Publications January 2017
Supreme Court Clarifies “Personal Benefit”: Requirement for Insider Trading Liability BulletPoint December 2016
Rules for Equity Crowdfunding Effective May 16, 2016 Other Publications May 2016
Dramatic Changes to Partnership Audit Rules Will Impact Private Investment Funds and other Partnerships GlobalNote May 2016
How UCITS Funds Can Expand Their Investor Base into the US GlobalNote May 2016
How to Register as an Investment Adviser with the SEC and Selected Ongoing Compliance Obligations GlobalNote March 2016

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40 results found. Viewing page 1 of 2

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