International

If your firm offers retail clients international money transfer services, brace for the possibility that you could be covered under a new Consumer Financial Protection ...

You would do well to make sure your firm has devised policies and procedures to manage conflicts of interest even if your firm didn't receive ...

A recent SEC no-action letter broadened the type of party that could be considered a major, U.S. institutional investor, thereby allowing foreign firms to play ...

A recent SEC no-action letter broadened the type of party that could be considered a major, U.S. institutional investor, thereby allowing foreign firms to play ...

You may need to add another regulator to your radar screen after the Treasury Department's Office of Foreign Assets Control (OFAC) settled last month with ...

The first e-mail appeared innocuous enough. It simply asked the rep for the current balance in the client's account. After the rep replied, in came ...

The SEC has granted a foreign adviser's request that it need not register with the Commission because it maintains "no office or place of business ...

From time to time, we've kept you updated as Europe moves toward new regulations on private funds (IA Watch, Sept. 19, 2011). The latest development ...

India's Satyam Computers made up phony numbers with the ease of a keyboard stroke. The fraud at China's Sino Forest toppled like a redwood. And ...

Earlier this month the European Union published the Alternative Investment Fund Managers directive in its version of the Federal Register. While it has the effect ...