The SEC is consulting on amendments to Form ADV that will affect both SEC registrants and Exempt Reporting Advisers alike. Release IA-4091, published on 20th May, proposes significant amendments to […] [...]

On 13 January 2015, the Office of Compliance Inspections and Examinations (“OCIE”) of the United States Securities and Exchange Commission (the “SEC”) released their 2015 Examination Priorities. The SEC Examination […] [...]

A new SEC rule is coming into force which will impact on Large Traders (‘LT’) of NMS securities (the latter are basically any US exchange-listed securities including options. For the […] [...]

CESR has presented a report to the European Institutions that recommends the introduction of a pan-European short selling disclosure regime. There are two distinct differences between the existing disclosure requirements […] [...]

From the article on the Asset Management Conference it will be seen that one way non EU domiciled funds could be marketed under any AIFM Directive would be where the […] [...]