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Seward & Kissel LLP

SEC Releases Annual Registered Investment Company Update

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Registered Investment Advisers; Boards of Directors; Portfolio Managers. Quick Take: The staff of the SEC’s Division of Investment Management (Staff) published its...more

Barnea Jaffa Lande & Co.

ISA: New Guidelines on Offering and Intermediating Joint Investment Arrangements

Barnea Jaffa Lande & Co. on

The Israel Securities Authority published a position statement recently addressing various issues pertaining to brokerage activities and offerings of joint investment arrangements, including the applicability of the...more

SEC Compliance Consultants, Inc. (SEC³)

How Much Testing is Enough?

SEC Compliance Consultants, Inc. (SEC³) on

Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more

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