Unbundling Investment Research costs from Trade Execution costs (US)
SEC issues no-action letters providing greater certainty over the US Regulated activities of market participants
Personal Data: US Privacy Shield
New framework on transatlantic data flows under development
SEC Year End Obligations
Now that 2016 is firmly upon us, a number of United States regulatory filing deadlines come into view, particularly for firms with a 31 December fiscal year end (“FYE”). The […]
SEC Office of Compliance Inspections and Examinations Examination Priorities for 2016
On 11 January 2016 the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Examination Priorities.
Personal Data: US Safe Harbor
Safe Harbor scheme declared invalid
Registered Investment Advisers – Personal Account Dealing Guidance
SEC expresses its views on the application of Rule 204A-1
SEC Proposes Amendment to Form ADV
Changes to Form ADV to affect SEC registrants and Exempt Reporting Advisers alike
FATCA Nil Returns
Clarification from HMRC
SEC Inspection Priorities
On 13 January 2015, the SEC’s Office of Compliance Inspections and Examinations released their 2015 Examination Priorities.
FATCA
HMRC has updated its Guidance Notes