International

You wouldn’t be alone if you felt this month’s “information update” from the SEC’s Division of Investment Management on use of the so-called Unibanco letters ...

We ask the Staff of the Division of Trading and Markets (the "Staff ') of the Securities and Exchange Commission (the "SEC") to grant exemptive ...

Two new releases from the SEC’s Division of Investment Management add clarity to two issues that may affect you.   1. Foreign affiliates that fall ...

We would not recommend enforcement action to the Commission under Section 12(d)(1)(A) or (B) of the 1940 Act against a Foreign Feeder Fund that acquires ...

ISDA Japan requested relief for SDs that are subject to the uncleared swap margin requirements of both the CFTC and the Financial Services Agency of ...

The Hold Brothers had violated the federal securities laws by enabling and failing to adequately monitor deceptive trading practices by certain offshore traders who used ...

If you’re a large enough private fund adviser that markets into the EU, then you already quarterly file certain data reports with overseas regulators to ...

This letter provides relief for the period from and including Feb-ruary 4, 2017 to and excluding May 8, 2017 from compliance with certain provisions of ...

The written materials, however, were rendered materially misleading because they failed to adequately disclose that the Relevant Investors could be placed into the program using ...

Between August 2010 and July 2011, certain registered representatives of CGMI and certain registered representatives of Morgan Stanley Smith Barney LLC (“MSSB”) presented to certain ...