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Conyers

Understanding Outsourcing Obligations for Cayman Islands Funds

Conyers on

It has been two years since the Cayman Islands Monetary Authority (CIMA) introduced its Rule on Corporate Governance for Regulated Entities (the “Corporate Governance Rule”), and a year and a half since it came into force....more

Rumberger | Kirk

Minimizing Liability Under the SEC’s Reg-BI

Rumberger | Kirk on

Litigation Risks Posed by the SEC’s Regulation Best Interest - Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s...more

Herbert Smith Freehills Kramer

OCIE Notifies Investment Advisers of Principal and Agency Cross Trading Compliance Deficiencies

Herbert Smith Freehills Kramer on

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 and Exchange Commission (SEC) to issue a...more

Herbert Smith Freehills Kramer

OCIE Warns Advisers Regarding Best Execution Obligations

Herbert Smith Freehills Kramer on

On July 11, 2018, the Securities and Exchange Commission (SEC) issued a risk alert outlining certain compliance issues identified by its Office of Compliance Inspections and Examinations (OCIE) related to the obligation to...more

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