International

The working group recommended the SEC improve disclosure regarding, and consideration by fiduciaries and other market professionals of, the risks of investing in emerging markets, ...

The firm was asked to hand over everything from a list of retail customers to fee “grids or schedules” to information on any “bonuses or ...

Provide a "list of any individuals or groups (e.g., internal committees, working groups, or transition teams), if any, assigned responsibility to oversee or manage the ...

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 ...