Searching Content indexed under Compliance by Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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OCIE Notifies Investment Advisers Of Principal And Agency Cross Trading Compliance Deficiencies
Failures by a number of investment advisers to comply with certain rules governing principal and agency cross trades has prompted the compliance inspections staff of the Securities...
United States
7 Oct 2019
OCIE Releases Risk Alert On Compliance Issues Related To Investment Advisers' Supervised Persons With Disciplinary History
On July 23, the SEC's Office of Compliance Inspections and Examinations (OCIE) released a risk alert.
United States
2 Sep 2019
SEC Division Of Corporate Finance Issues 9 Compliance And Disclosure Interpretations Regarding Inline XBRL Requirements
In March 2019, final rules amending Regulation S-K and related rules and forms were adopted. Included in these rules were requirements that registrants use Inline XBRL
United States
29 Aug 2019
The First PNF/AFA Common Guidelines
A welcome clarification regarding the expected behavior of companies and administrations under French criminal settlement procedures.
23 Aug 2019
Les premières lignes directrices communes PNF/AFA
Une clarification bienvenue quant au comportement attendu des entreprises dans le cadre de la procédure de transaction pénale à la française
16 Aug 2019
KL Snapshot #26 - May-June 2019
KL Snapshot is a bi-monthly newsletter encompassing the latest articles and seminars of the Paris-based lawyers.
22 Jul 2019
Programmes De Conformité : Un Atout Pour Les Entreprises
Paris partner Noëlle Lenoir authored an article titled "Programmes de conformité : un atout pour les entreprises" which was published by the French publication Echanges internationaux on July 1, 2019.
15 Jul 2019
OCIE Warns That Investment Advisers And Broker-Dealers Are Putting Investor Information At Risk
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a risk alert warning that investment advisers and broker-dealers
United States
12 Jul 2019
SEC Adopts Regulation Best Interest And Related Rules And Interpretations
On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers.
United States
21 Jun 2019
Banking, Finance And Insurance Letter - Mars-Avril 2019
Le 13 mars 2019, l'ESMA a mis à jour son Interactive Single Rulebook en y intégrant les mesures de niveau 2 et 3 de MiFID II (incluant RTS, actes délégués, opinion et Q&A).
United States
11 Jun 2019
Banking, Finance And Insurance Letter - March-April 2019
On March 13, 2019, ESMA updated its Interactive Single Rulebook to incorporate MiFID II Level 2 and 3 measures (including RTS, delegated acts, opinion and Q&A).
United States
11 Jun 2019
DOJ Criminal Division Releases Updated Guidance For Evaluation Of Corporate Compliance Programs
On April 30, 2019, Brian A. Benczkowski, the assistant attorney general for the Criminal Division of the United States Department of Justice ...
United States
28 May 2019
CFTC Divisions Release 2019 Enforcement Priorities
In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division of Market Oversight (DMO) ...
United States
11 Mar 2019
Google's Fine And The French Data Protection Authority's Far-Reaching GDPR Compliance Measures
On Jan. 21, 2019, the French Data Protection Authority (CNIL) levied a 50 million euros sanction against Google LLC1 for violating the EU General Data Protection Regulation
United States
7 Mar 2019
City Protections Expand While State Law Plays Catch-Up: New Employee Protections For Gender Identity And Expression And Sexual And Reproductive Health Decisions
New York legislators have hit the ground running in 2019, enacting new legislation expanding employee protections at both state and city levels.
United States
19 Feb 2019
OCIE Releases 2019 Examination Priorities
The SEC's Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program.
United States
6 Feb 2019
New Year, New Employee Handbook! Is Your Employee Handbook Up To Date?
Now that the Times Square glitter has settled, it's time to get started on tackling those New Year's resolutions.
United States
31 Jan 2019
Non-respect des obligations en matière de publication d'informations privilégiées et sanction des dirigeants d'une personne morale
Si les dispositions de l'article 17 du règlement (UE) n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché ne prévoient pas la responsabilité du dirigeant.
United States
21 Jan 2019
Funds Talk: December 2018
Legal commentary on the news and events that matter most to alternative asset managers and funds.
United States
5 Dec 2018
Poor Compliance With Cash Solicitation Rule Prompts OCIE Risk Alert
Among those conditions is that the cash fee must be paid pursuant to a written solicitation agreement to which the adviser is a party.
United States
4 Dec 2018
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