International

"The SEC staff routinely seeks international assistance and the assistance that many of you have provided to us has been invaluable. In turn, the SEC ...

"Allowing firms to access markets without having to comply immediately with the full panoply of regulations provides a manageable entry point into highly regulated markets"

You don’t have to go to the islands, but private funds based in the Cayman Islands must hold at least one governance meeting annually under ...

These reports are expected to assist the Treasury, Federal, State, and local law enforcement and national security agencies in addressing illicit finance vulnerabilities in the ...

"While many Americans will be celebrating the unofficial start of summer over Memorial Day weekend, another important thing will be happening. We will transition in ...

Avoid describing currency holdings as only “cash” if they include foreign notes when revealing your ETF portfolios

SEC staff has observed the disclosure of some ETF portfolio holdings identify foreign currency positions only as “cash.” However, this descriptor is not an appropriate ...

"It’s because we oversee the U.S. securities markets and have a real role to ensure they remain the most efficient, competitive, and resilient in the ...

Although Laidlaw had monitoring procedures to detect potential violations by reps of the quantitative prong of the Care Obligation, Laidlaw did not reasonably maintain and ...

"Regulators should be expected to exercise appropriate judgement in carrying out its investigative and sanctioning authority and to have an articulable basis for those decisions. ...