Recently by Kathy H. Rocklen
Finance
Information Barriers At Broker-Dealers
The SEC’s staff has released a report[1] of its observations following an examination of 19 brokerage firms’ programs to protect against the misuse of material nonpublic information (MNPI).[2] The reviews assessed each broker-dealer’s information barriers for compliance with...
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A Look At Regulations For Non-U.S. Investment Advisers And Portfolio Managers Doing Business In The United States
This article discusses the U.S. registration and regulatory issues arising from the provision of discretionary portfolio management or other investment advisory services by non-U.S. advisers[1] to clients in the United States.[2] I. Jurisdiction and Exemptions from Federal and State...
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