Issues

Director of SEC’s Division of Investment Management discusses alternative mutual funds

Richard F. Kerr
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European private placements for US managers – navigating the AIFMD minefield

Winston Penhall; Jacqui Hatfield
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FINRA fines broker-dealer for failing to apply Class A sales charge waivers for certain eligible customers on its mutual fund platform

Richard F. Kerr
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Cybersecurity: SEC is starting to scrutinize registrants’ practices

Daniel A. Nathan; Libby J. Greismann
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Editor’s letter

Henry Davis
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The Securities and Exchange Commission (“SEC”) prevails in the second circuit in defending its no-admission settlement policy

Terence Healy; Amy J. Greer; Daniel Z. Herbst
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Supreme Court reaffirms “fraud-on-the-market” presumption in securities fraud class actions

Veronica Rendon; John Freedman; Adam Reinhardt
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SEC issues guidance update regarding enhanced mutual fund disclosure

Domenick Pugliese; Michael Rosella; David Hearth
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SEC’s enforcement action against hedge fund adviser for retaliation against a whistleblower highlights challenges employers face

Bryan B. House; Pam L. Johnston; Courtney Worcester
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ESMA opinion on structured retail products – good practices for product governance arrangements

Hartmut T. Renz; Ingrid Kalisch; Sandra Pfister; Stuart Axford; George M. Williams, Jr.
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Characteristics of financial crime investigation reports by fraud examiners

Petter Gottschalk
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FATCA: implications for non-US funds: a general guide for determining the applicability of FATCA to non-USA funds

Kristen M. Garry; Etienne Gelencsér; Eileen M. O’Pray; Naomi King; Jeffrey B. Tate
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Depository banks under the Alternative Investment Fund Managers Directive (AIFMD)

Lukas Prorokowski
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