December 23, 2019 SEC Grants Exemptive Applications of Additional Non-Transparent ETF Sponsors December 23, 2019 Overview of the California Consumer Privacy Act December 4, 2019 Counsel Christopher Carlson Authored an Article for the December 2019 Edition of The Review of Securities & Commodities Regulation, Titled ” Consecutive Private and Public Offerings for Registered Funds.” December 5, 2019 Partner Gary Anderson and associate Nick Miller co-authored an article in HFM Week titled, “Restrictive Covenants and Tail Right Provisions in Seed Transactions: Balancing Seeder Protection and Key Person Autonomy.” December 4, 2019 SEC Proposes Amendments to the Advertising Rule and Cash Solicitation Rule November 21, 2019 SKRC November Compliance Flash November 19, 2019 SEC Staff Extends Temporary No-Action Relief to Broker-Dealers Regarding MiFID II Research Requirements November 14, 2019 Co-Director of the SEC’s Enforcement Division Discusses Current Areas of Focus Involving Registered Investment Adviser Conflicts of Interest November 11, 2019 2020 IARD Renewal Program November 6, 2019 OFAC Update: New Venezuela General Licenses October 29, 2019 SEC Releases FAQ on Investment Adviser Conflicts of Interest Disclosure for Certain Compensation Arrangements October 24, 2019 Turkey Sanctions Removed — For Now October 21, 2019 New U.S. Sanctions Against Turkey October 17, 2019 Seward & Kissel Releases 2018/2019 Hedge Fund Side Letter Study October 15, 2019 How Hedge Fund Managers Can Access Illiquid Investments Load more
