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Purpose – The purpose of this paper is to explain the SEC staff's web site responses to a series of frequently asked questions concerning SEC Advisers Act Rule 206(4)‐5. Design/methodology/approach – The paper explains the SEC staff responses to FAQs on the ability to rely on prior...
Purpose – This paper aims to explain the rules recently adopted by the Securities and Exchange Commission under the provisions of the Dodd‐Frank Wall Street Reform and Consumer Protection Act relating to the increased asset threshold for federal registration as an investment adviser, the new...
Purpose – The purpose of this paper is to review significant questions raised by the US Supreme Court's June 13, 2011 decision in Janus Capital Group, Inc. v. First Derivative Traders and discuss issues that fund directors and advisers may want to consider as a result....
Purpose – The purpose of this paper is to highlight areas of particular interest to non‐US investment funds in the second installment of the US Treasury Department's written guidance under the Foreign Account Tax Compliance Act (FATCA). Design/methodology/approach – The paper explains the...
Purpose – The purpose of this paper is to provide selected Financial Industry Regulatory Authority (FINRA) regulatory notices and disciplinary actions issued in July and August 2011. Design/methodology/approach – The paper provides Regulatory Notice 11‐31, July 2011, Credit Default Swaps:...
Purpose – The purpose of this paper is to consider the consequences of the July 22, 2011 decision of the US Court of Appeals for the DC Circuit in the case of Business Roundtable and Chamber of Commerce v. Securities and Exchange Commission ( BRT v. SEC ) on current and future SEC rulemakings....
Purpose – The purpose of this paper is to review recent regulatory enforcement actions sanctioning firms for failure to safeguard material, non‐public information (MNPI). Design/methodology/approach – The paper reviews recent enforcement actions and examines the implications for other firms...
Purpose – The purpose of this paper is to provide a summary of recent Commodity Futures Trading Commission (CFTC) final rules prohibiting manipulation of commodity markets. The paper provides the specific prohibitions contained in new rules prompted by new authorities granted to the CFTC by the...
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