Posts from May 2014.

The question "how are private equity firms doing?" was asked back in 2012 by the Securities and Exchange Commission's ("SEC's") Office of Compliance Inspections and Examinations ("OCIE"),  in response to the growth of this industry. In October 2012, OCIE launched...

Recently, the California Department of Business Oversight (“DBO”) officially adopted revisions to the California investment adviser custody rule, Section 260.237 of Title 10 of the California Code of Regulations (the “Rule”).  According to the DBO, these changes were in response...

The past two months have seen much in the way of political and civil strife in the Ukraine, as Russian forces moved into the Crimea and Eastern regions. After a series of economic sanctions against Russia were instituted by the...

There has been a recent flurry of news reports, analysis and webinars in the securities law world around the Securities and Exchange Commission's ("SEC's") Office of Compliance Inspections and Examinations ("OCIE") proposed 2014 Cybersecurity Initiative. Launched as a major news...

Recent Posts

Topics

Archives

Contributors

Jump to Page

This website uses cookies to enhance your browsing experience and improve functionality. By continuing to browse this website, you are accepting our use of cookies in accordance with our privacy policy.