- Blocker corporations are used to aid with forgoing rules. Structuring the blocker as an U.S. corporation versus a foreign domiciled corporation has both advantages / disadvantages.
- This proposed rule states that written BCPs will be required for all RIAs, as well as details of how advisors would transition client accounts if an advisor were to suspend operations.
- New York Department of Financial Services (NY DFS) will be releasing on Dec. 28, 2016, a revised version of the 23 NYCRR 500 Financial Services Law which outlines cybersecurity requirements.
- California’s newly confirmed fee disclosure law, with an effective date of Jan. 1, 2017, will significantly impact disclosure compliance requirements on state public pension plans.
- This Baker Tilly webinar provides an overview of the new NY DFS regulations, what is different from existing rules and the similarities and differences from existing frameworks.
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