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Regulation (130)
Your search for Regulation returned 130 results.
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3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing rules that would modify the registration, communications, and offering processe...
3/21/2019 | Content area: Investment Adviser
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that ...
7/12/2018 | Content area: Investment Adviser | Private Fund
The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...
6/22/2018 | Content area: Investment Adviser
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...
2/08/2018 | Content area: Investment Adviser
An order appearing in the Feb. 8 Federal Register pushes the SEC’s current exemptive order for most of its security-based swap rules to Feb. 9, 2019. ...
1/01/2018 | Content area: Investment Adviser
Let’s admit that it’s hard to predict what will happen in 2018 after last year’s wild ride. Yet we have heard experts offer that the New Year will bri...
1/01/2018 | Content area: Investment Adviser
     We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2018. Com...
12/14/2017 | Content area: Investment Adviser
The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain i...
7/20/2017 | Content area: Investment Adviser
January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions long before then (IA Wat...
4/05/2017 | Content area: Investment Adviser
This document extends for 60 days the applicability date of the final regulation, published on April 8, 2016, defining who is a “fiduciary” under the ...
3/14/2017 | Content area: Investment Adviser
Reflecting on these events, I think some useful lessons can be drawn. First, when fund complexes outsource critical functions to third parties, they s...
1/18/2017 | Content area: Investment Adviser
It can be difficult shortly after New Year’s to think about next year but you should if the EU’s coming regulatory landscape, known as Markets in Fina...
11/16/2016 | Content area: Investment Adviser
To me, it is a legitimate function of a government and a capitalist society to make sure that once people have done the right things—achieved an educa...
8/29/2016 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional informat...
7/13/2016 | Content area: Investment Adviser
Despite its 500 plus page length, this proposal may be framed in such a hyper-technical way that it fails to provide a bonafide opportunity for a wide...
7/11/2016 | Content area: Investment Adviser
The corrections in this document fix typographical errors, make minor clarifications to provisions that might otherwise be confusing, and confirm insu...
7/11/2016 | Content area: Investment Adviser
The corrections either fix typographical errors or make minor clarifications to provisions that might otherwise be confusing.
5/11/2016 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA
FinCEN is issuing final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: Banks; brokers or dealers ...
5/04/2016 | Content area: Investment Adviser | CPO/CTA
The Department of Labor’s fiduciary duty rule largely leaves swaps arrangements outside of its purview, in part because the SEC and the CFTC already t...


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