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Regulatory Briefings

Regulatory Briefings

233 Results Found

US

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Best Practices (2 Articles)
CFTC (21 Articles)
Dodd-Frank (5 Articles)
Due Diligence (2 Articles)
Enforcement (12 Articles)
Investment Advisers Act (4 Articles)
Miscellaneous (34 Articles)
Press Releases (3 Articles)
Regulation (22 Articles)
SEC (42 Articles)
The Dodd-Frank Act (11 Articles)

UK

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AIFM Directive (24 Articles)
CASS (3 Articles)
Conduct of Business (1 Article)
Enforcement and Financial Crime (18 Articles)
General Regulatory Developments (56 Articles)
Market Abuse (4 Articles)
MiFID (5 Articles)
Money Laundering (1 Article)
Overseas (5 Articles)
Prudential/Regulatory Reporting (6 Articles)
Remuneration Code (9 Articles)
Short Selling (16 Articles)

Hong Kong

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The Dodd-Frank Act (3 Articles)

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AIFM Directive (UK)

Keep calm and carry on (marketing UCIS)…UK HM Treasury relaxes AIFMD transitional provisions
ESMA’s Final Advice to the European Commission on AIFMD
Planning for AIFMD
Authorisation under AIFMD
Prudential requirements under AIFMD
Remuneration but not as we may come to know it…
Preparing to become an AIFM
Strategic Planning
AIFMD: What are we going to do now?
The EC wishes us all a Merry Christmas and a review of ‘The year of Enforcement 2012′

Best Practices (US)

Complying with the 1940 Act in the 21st Century
Upcoming 2012 SEC Regulatory Deadlines

CASS (UK)

“Feed me CMAR” – the spreading vine of the FSA’s client money and asset rules post Lehmans
Client money and assets – the FSA’s CASSandra?
Cass-cade: further tightening of the UK client money and assets regime

CFTC (US)

SEC and CFTC Approve Joint Identity Theft Program Rules
Upcoming Deadlines for Commodity Pool Operators
Upcoming Filing Deadlines for CFTC-Registered Commodity Trading Advisors
MFA Submits Proposed Guidance on the Application of CFTC Rule 4.13(a)(3) to Funds-of-Funds
CFTC Extends Certain Swaps-Related Business Conduct and Documentation Deadlines
The race to CFTC registration: some of the open issues are clarified
NFA Annual Affirmation Requirement for Certain CPO and CTA Exemptions or Exclusions
CFTC Extends Registration Deadline for Fund of Funds Operators
Treasury Determines that Foreign Exchange Swaps and Forwards Are Not “Swaps”
Funds of Funds Managers – IAA and MFA Request Delayed CPO/CTA Registration Compliance Date

Conduct of Business (UK)

FSA comments on the marketing of unregulated collective investment schemes, September 2010

Dodd-Frank (US)

SEC Issues Summary Report on Private Fund Adviser Registrations and Exempt Reporting Advisers, Notice on Mid-Sized Advisers
CFTC and SEC Adopt Joint Final Rules on Definitions of “Swap Dealer” and “Security-Based Swap Dealer”
Identity Theft Red Flags Rules Proposed by SEC and CFTC
Upcoming 2012 SEC Regulatory Deadlines
SEC Provides Guidance on Registration of Advisers Related to Registered Investment Advisers

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