December 2017 December 2017 Compliance Flash December 13, 2017 CFTC Annual Affirmations December 13, 2017 SEC Modifies Approach to Form N-PORT Filing Requirements December 5, 2017 EU PRIIPs Regulations November 6, 2017 SEC Staff Issues No-Action Letters Providing Relief to Investment Advisers Regarding MiFID II Research Requirements October 26, 2017 SEC Staff Releases Guidance for U.S. Market Participants Regarding U.S. Regulated Activities and Compliance with MIFID II October 2017 October 2017 Compliance Flash October 6, 2017 Hedge Fund Adviser Settles SEC Charges for Inadequate Controls to Prevent Insider Trading September 27, 2017 SEC’s Division of Investment Management Extends Limited “Loan Rule” Relief September 21, 2017 SEC Issues Risk Alert on the Most Frequently Identified Advertising Rule Compliance Issues September 7, 2017 CFTC Considers Virtual Currency Derivatives to be Commodity Interests September 5, 2017 DOL Extends the Advice Fiduciary Rule’s Transition Period August 29, 2017 The Second Circuit Upholds former SAC Capital Manager’s Conviction and Expands the Supreme Court’s Personal Benefit Rule August 25, 2017 Considerations Presented By Amended Form ADV Effective October 1, 2017 August 2017 August 2017 Compliance Flash Load more