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The weekly news source for investment management legal and compliance professionals

Topic: International Matters

SEC Provides Temporary Relief from MiFID II Research Requirements

October 27, 2017
Advisers and broker-dealers can relax Ė at least a bit. In a trio of no-action letters issued October 26, the SEC assured them that they will not take enforcement actions against them if they fail to meet certain European Union requirements regarding research dollars and more that take effect January 3.

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SEC and DOJ Scrutinize Advisers Doing Business in Other Countries

April 28, 2017
If your firm invests money overseas and you arenít ensuring its compliance with the Foreign Corrupt Practices Act, start paying attention. Both the SEC and the Department of Justice have stepped up their review of advisory firms with international business interests, looking for evidence of bribes.

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SEC Staff Provides Foreign Participating Affiliates with Document Clarification

March 24, 2017
Life just became a little less complicated for some non-U.S. participating affiliates of registered advisers.

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MJW Wants More Enforcement Cooperation from International Regulators

September 30, 2016
Better compliance across borders means greater enforcement cooperation. That, at least, would appear to be part of the plea SEC chair Mary Jo White made September 21 in a gentle but firm speech at the International Bar Associationís annual conference.

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Donohue: SEC’s Voice Needed in International Efforts to Address Systemic Risk

July 28, 2016
The SECís voice is an important one on international bodies that seek to address systemic risk in the asset management industry. So said Commission chief of staff Andrew Donohue in a recent London speech.

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Marketing in Europe: What to Do in the Wake of the Latest EU Development

August 14, 2015
U.S. advisers seeking to market alternative investment funds in the European Union may be disappointed by a recent EU bodyís recommendation that an EU-wide marketing passport not be extended to U.S. firms. But the failure to recommend the passport, which would have simplified the business of marketing alternative investment funds in Europe, does not prevent U.S. firms from marketing in Europe Ė they just need to do so within the existing rules.

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New Director at SEC Office of International Affairs

February 13, 2014
Paul Leder is the SECís new director of its Office of International Affairs. The office advises the Commission on cross-border enforcement and regulatory matters. It also coordinates the SECís work with regulatory agencies outside the United States.

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SEC Is Watching What You Do in the United Kingdom

November 23, 2013


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FATCA Regs Are Here

February 4, 2013


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Overheard

February 7, 2012


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UK’s FSA Gets Wide Latitude To Support SEC Enforcement Efforts

April 13, 2010


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Got Business in Canada? Canadian Registration Reform Is Here

October 27, 2009


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IOSCO Due Diligence Guidelines Are Familiar, But Worth Repeating

September 14, 2009


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