Home » reguatory

Tag: reguatory

Best of the Web – October 2017

How to Manage the Risky Role of the Investment Adviser CCO in the 21st Century (Drinker Biddle)

SEC Amendments to Form ADV and Recordkeeping Rules Go into Effect on October 1 (Morgan Lewis)

A Strategic Approach to Launching a New Fund (Pepper Hamilton)

Special Report: “Who May Sue You and Why: How to Reduce Your ERISA Risks, and the Role of Fiduciary Liability Insurance” (Groom)

To Plea or Not to Plea: That Is Not the Question (Stradley Ronon)

Investment Advisers & Funds – Annual Compliance Reviews (podcast) (Thompson Hine)

Global Update: Regulators Focus on Initial Coin Offerings (Dechert)

Guidance Statement on Broadly Distributed Pooled Funds Provides Clarity (Cohen & Co.)

MiFID II – State of Play (Kramer Levin)