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Mayer Brown Free Writings + Perspectives

SEC and FinCEN Propose Customer Identification Program Requirements for Certain Investment Advisers

Mayer Brown Free Writings + Perspectives on

I. INTRODUCTION - On May 13, 2024, the US Securities and Exchange Commission (“SEC”) and the US Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a joint notice of proposed rulemaking (the...more

Jones Day

Wait, There's More: The CFTC Proposes Additional Swap Reporting and Recordkeeping Amendments

Jones Day on

The Commodity Futures Trading Commission ("CFTC") has proposed swap reporting and recordkeeping amendments that would: designate a unique product identifier ("UPI") and product classification system ("PCS") for the "other...more

Cadwalader, Wickersham & Taft LLP

CFTC Issues Proposed Rule to Modify Regulation 4.7 Exemptions

Cadwalader, Wickersham & Taft LLP on

On October 2, 2023, the Commodity Futures Trading Commission (the “Commission” or “CFTC”) published a notice of proposed rulemaking (the “Proposed Rule”) to amend CFTC Regulation 4.7, which provides exemptions to registered...more

Ballard Spahr LLP

Recent Investment Management Developments - May 2016

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. ...more

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