- DFS just issued cybersecurity regulations that have been in draft form for some time. The regulations released on September 13, 2016 go into effect January 1, 2017 – a short time frame...
- Current issues in hedge funds and private equity: Debt-equity regulations, convertible bonds conversion rates, and the end of deferred compensation
- The SEC's proposed rule for registered investment advisers (RIAs) mandates the creation of effective recovery plans. Two elements are often overlooked.
- The SEC is asking that broker-dealers self-report any historical or ongoing instances of noncompliance by November 1, 2016.
- The SEC’s proposed new rule, Rule 206(4)-4, would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans.
- Previous Next