The U.S. Department of the Treasury (Treasury) announced on February 21, 2023, that TIC Form S — which Treasury has administered to collect data from financial institutions relating to aggregate purchases and sales of...more
In September and October 2020, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) is administering its next mandatory Benchmark Survey of Financial Services Transactions between U.S. Financial Services...more
10/14/2020
/ Asset Management ,
Banks ,
BE-180 ,
BEA ,
Benchmarks ,
Broker-Dealer ,
Collateralized Loan Obligations ,
Cross-Border Transactions ,
Data Collection ,
Financial Services Industry ,
Fund Managers ,
Surveys
In September and October 2020, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) will administer its next mandatory Benchmark Survey of Financial Services Transactions between U.S. Financial Services...more
9/20/2020
/ Aggregation Rules ,
Asset Management ,
Banks ,
BE-180 ,
BEA ,
Benchmarks ,
Broker-Dealer ,
Cross-Border Transactions ,
Electronic Filing ,
Filing Deadlines ,
Financial Services Industry ,
Foreign Investment ,
Insurance Industry ,
Surveys
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more
2/12/2020
/ Asset Management ,
BEA ,
Benefit Plan Sponsors ,
CFTC ,
Commodities Traders ,
Commodity Exchange Act (CEA) ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
CPOs ,
Cross-Border Transactions ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Form 13F ,
Form ADV ,
Form PF ,
Investment Adviser ,
Investment Funds ,
Large Traders ,
NFA ,
Private Funds ,
Private Placements ,
Reporting Requirements ,
Schedule 13D ,
Securities and Exchange Commission (SEC)
The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more
1/24/2018
/ Beneficial Owner ,
Benefit Plan Sponsors ,
CFTC ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
CPO ,
Cross-Border Transactions ,
Department of Labor (DOL) ,
Derivatives ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Deadlines ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment ,
Form 13F ,
Form ADV ,
Form D Filing ,
Form PF ,
Investment Adviser ,
Investment Funds ,
Investors ,
NFA ,
Offerings ,
Private Funds ,
Private Placements ,
Registered Investment Advisors ,
Reporting Requirements ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Securities Violations ,
Self-Certification ,
Verification Requirements ,
Virtual Currency
The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more
2/21/2017
/ Accredited Investors ,
Benefit Plan Sponsors ,
CFTC ,
Compliance ,
Cross-Border Transactions ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Form ADV ,
Form PF ,
Fund Managers ,
Hedge Funds ,
Investment Adviser ,
NFA ,
Private Funds ,
Private Placements ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
The Bureau of Economic Analysis (BEA), in collaboration with the U.S. Department of the Treasury (Treasury Department) and the Federal Reserve Bank of New York, has proposed changes to certain cross-border investments that...more
For many U.S. asset managers and other financial services providers, the recent BE-10 Benchmark Survey of U.S. Direct Investment Abroad (BE-10) and the upcoming BE-180 Benchmark Survey of Financial Services Transactions...more
10/7/2015
/ Asset Management ,
BEA ,
Benchmarks ,
Cross-Border Transactions ,
Financial Institutions ,
Foreign Direct Investment ,
Foreign Investment ,
Form BE-10 ,
Reporting Requirements ,
Surveys ,
U.S. Commerce Department
In the fall of 2015, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) will administer its next Benchmark Survey of Financial Services Transactions between U.S. Financial Services Providers and Foreign...more
9/16/2015
/ Aggregation Rules ,
Asset Management ,
Banks ,
BE-180 ,
BEA ,
Benchmarks ,
Broker-Dealer ,
Cross-Border Transactions ,
Filing Deadlines ,
Financial Institutions ,
Foreign Financial Assets ,
Investment Adviser ,
Investment Funds ,
Surveys ,
U.S. Commerce Department