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International (100)
Your search for International returned 100 results.
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7/18/2019 | Content area: Investment Adviser
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice.   However, you may want to ask your ve...
7/18/2019 | Content area: Investment Adviser
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and prom...
6/27/2019 | Content area: Investment Adviser | CPO/CTA
Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman...
5/17/2019 | Content area: Investment Adviser
One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is on...
5/02/2019 | Content area: Investment Adviser
While reports have drifted in for months that OCIE was holding up advisers’ registration applications from firms in the EU after the GDPR took effect ...
4/04/2019 | Content area: Investment Adviser
Should your firm do business in Germany, know that the regulator there, BaFIN, is fining U.S.-based advisers that fail to file required disclosures on...
3/06/2019 | Content area: Investment Adviser
Goldsky's Forms ADV for 2016 and 2017, which Grace signed, falsely stated that Goldsky's hedge fund, Goldsky Global Alpha Fund, LP, had an auditor, a ...
12/20/2018 | Content area: Investment Adviser | Private Fund
As time ticks down to the UK’s break from the EU next March 29, great uncertainty surrounds the issue of Brexit. But if your firm is based in the U.S....
12/03/2018 | Content area: Investment Adviser
Barriers to information may come in various forms, including data protection, privacy, confidentiality, bank secrecy, state secrecy, or national secur...
11/07/2018 | Content area: Investment Adviser
The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it diffi...
9/28/2018 | Content area: Investment Adviser
Goldsky's Forms ADV filed with the Commission in 2016 and 2017, which Grace signed, stated that its hedge fund, Goldsky Global Alpha Fund, LP, had an ...
8/27/2018 | Content area: Investment Adviser
The Permal Employees, along with employees of Société Générale, also used coded language in furtherance of the scheme, including discussing when the L...
8/02/2018 | Content area: Investment Adviser
IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection ...
7/19/2018 | Content area: Investment Adviser
Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss in ...
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...
6/08/2018 | Content area: Investment Adviser
There’s no mistaking that failures to disclose conflicts of interest tied to compensation are a focus of both SEC examiners and Enforcement. New York-...
5/17/2018 | Content area: Investment Adviser
Thanks to the Financial Action Task Force’s 40 recommendations for how to attack anti-money laundering, you can find great similarities in the approac...
3/08/2018 | Content area: Investment Adviser
Tim Hickman of White & Case in London gives RCW permission to share with you his firm's flowchart to help you determine if you are affected by the reg...
2/22/2018 | Content area: Investment Adviser
You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations.   Perhaps you...


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