International

The Commission proposed that the term “foreign branch” would mean an office of a U.S. person that is a bank that: (1) is located outside ...

Those who help tax cheats face increased risk of enforcement. These can be lawyers, bankers, investment advisers and others

But to many investors, the SRI concept looks at more than just returns. They instruct their advisers to avoid tobacco stocks, industries that contribute to ...

Investment advisers to funds that have economic exposure to companies based in emerging markets also have responsibilities to inform their investors

The eligible affiliate counterparties electing the exemption must pay and collect variation margin on swaps with all other eligible affiliate counterparties with whom they enter ...

The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use

SEC examiners will seek documents showing firms’ organizational structure and business lines, as well as any groups and even third-party vendors, responsible for helping them ...

“The SEC is also holding up registrations in jurisdictions that have similar” rules to GDPR

The pandemic and market volatility that “has reached historic levels” explain the change

The Commission is proposing that non-U.S. CPOs may claim an exemption from registration with respect to its qualifying offshore commodity pools