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IM won't recommend enforcement if the advisers "treats a Reserved Powers Trust as a Non-U.S. Person (each as described and defined in your letter) in ...
It’s unclear how many firms in the EU would wish to register as SEC RIAs. Some have gotten around the problem by buying existing SEC ...
If you’re with a U.S.-based adviser that escaped having to comply with the EU GDPR, it’s very likely that the UK version won’t touch you ...
"The EC’s decision is an important first step on the road to providing greater regulatory certainty for CCPs and their members on both sides of ...
The UK’s Information Commissioner’s Office has stated that the UK General Data Protection Regulation won’t hamper RIAs based there from cooperating with SEC exams
Elad Roisman
The ICO concluded that the UK GDPR does not impose legal barriers to the transfer of personal data from these entities directly to the SEC ...
This final rule spells out the granting of exemptions from registration for certain derivatives clearing organization (DCOs)
The Division of Examinations is issuing this Risk Alert to notify investment advisers, broker-dealers, and other market participants of a recent action relating to investments ...
Wadood helped AIML to fraudulently conceal the misappropriation and misuse of APEF IV’s assets, as well as the desperate financial condition of Abraaj Holdings and ...
We encourage funds to provide tailored disclosures of risks in the emerging markets in which they invest, and related risks, so that investors are able ...
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