October 20, 2017

October 2017 Compliance Flash

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October 6, 2017

Hedge Fund Adviser Settles SEC Charges for Inadequate Controls to Prevent Insider Trading

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October 6, 2017

New LEI Requirements under MiFID II

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October 4, 2017

Family Office as Investment Advisor under FINRA Rule 5131

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September 29, 2017

FINRA Imposes $13 Million Sanction for Failure to Supervise UIT Sales

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September 27, 2017

SEC’s Division of Investment Management Extends Limited “Loan Rule” Relief

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September 21, 2017

SEC Issues Risk Alert on the Most Frequently Identified Advertising Rule Compliance Issues

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September 15, 2017

The Seward & Kissel 2016/2017 Hedge Fund Side Letter Study

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September 7, 2017

CFTC Considers Virtual Currency Derivatives to be Commodity Interests

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September 5, 2017

DOL Extends the Advice Fiduciary Rule’s Transition Period

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August 30, 2017

Updates on the Section 385 Regulations

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August 30, 2017

IRS Releases 871(m) Guidance, Extends Phase-In of 871(m) Rules – August 2017

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August 29, 2017

The Second Circuit Upholds former SAC Capital Manager’s Conviction and Expands the Supreme Court’s Personal Benefit Rule

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August 25, 2017

Considerations Presented By Amended Form ADV Effective October 1, 2017

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August 23, 2017

August 2017 Compliance Flash

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