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“We didn’t anticipate that this would go on as long as it has,” OCIE Director Peter Driscoll said
The Commission believes that section 2(i) provides it express authority over swap activities outside the United States when certain conditions are met, but it does ...
"It is a laudable thing for a businessman to work ceaselessly to make his company or bank successful"
The working group recommended the SEC improve disclosure regarding, and consideration by fiduciaries and other market professionals of, the risks of investing in emerging markets, ...
The firm was asked to hand over everything from a list of retail customers to fee “grids or schedules” to information on any “bonuses or ...
Provide a "list of any individuals or groups (e.g., internal committees, working groups, or transition teams), if any, assigned responsibility to oversee or manage the ...
The Commission proposed that the term “foreign branch” would mean an office of a U.S. person that is a bank that: (1) is located outside ...
Those who help tax cheats face increased risk of enforcement. These can be lawyers, bankers, investment advisers and others
But to many investors, the SRI concept looks at more than just returns. They instruct their advisers to avoid tobacco stocks, industries that contribute to ...
Investment advisers to funds that have economic exposure to companies based in emerging markets also have responsibilities to inform their investors
The eligible affiliate counterparties electing the exemption must pay and collect variation margin on swaps with all other eligible affiliate counterparties with whom they enter ...
The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
SEC examiners will seek documents showing firms’ organizational structure and business lines, as well as any groups and even third-party vendors, responsible for helping them ...
“The SEC is also holding up registrations in jurisdictions that have similar” rules to GDPR
The pandemic and market volatility that “has reached historic levels” explain the change
The Commission is proposing that non-U.S. CPOs may claim an exemption from registration with respect to its qualifying offshore commodity pools
The Commission proposes to exempt swaps entered into with a central bank, sovereign entity, or international financial institution from the Clearing Requirement
Three Monsoon employees told Prakash that a use of fund assets for his own personal benefit would breach his fiduciary duty. Prakash placed his personal ...
Within days, Everest closed the Global Fund and Fund investors lost almost the entirety of their investment
Advisers, including registered and private fund advisers, should consider the risks of emerging market closures in their disclosures
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