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Finance
Reminder: Annual Update Of Form ADV And Annual Requirement To Confirm Status Of Investors Under The New Issue Rules
Annual Update Of Form ADV The Securities and Exchange Commission (the “SEC”) requires SEC registered investment advisers and Exempt Reporting Advisers [1] to annually update the information on their Form ADVs. Form ADV is filed electronically on the Investment Adviser...
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Treasury Department Extends FBAR Deadline Until June 30, 2014, For Certain Filers
On December 26, 2012, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued Notice 2012-2, which extends for certain filers the due date for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts (the “FBAR”), to June 30,...
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Tax Changes For Investment Funds And Their Investors In Fiscal Cliff Legislation
On January 2, 2013, President Obama signed into law the American Taxpayer Relief Act of 2012 (the “Act”). The Act addresses, among other things, provisions of the Internal Revenue Code that were scheduled to expire on December 31, 2012, or had expired previously, including many of...
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Former Federal Prosecutors Pen New Treatise On The Foreign Corrupt Practices Act
Editor: What prompted the three of you to write your book, The Foreign Corrupt Practices Act: Compliance, Investigations and Enforcement? How does it differ from other treatments of the subject? Weinstein: The three of us have been practicing law together in this area for two decades...
Read MoreRegulatory & Compliance
Preparing For The Possible Enactment Of Carried Interest Legislation
With the election settled, many clients are again asking about the President’s controversial proposal to change the taxation of “carried interest” and what, if anything, they can do to mitigate its potential effects. We cannot predict whether or when this proposal might be...
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Commodity Futures Trading Commission Update
CFTC Amends CPO And CTA Rules; NFA Adopts Test Waiver And Swap Designation For Members The Commodity Futures Trading Commission (CFTC) recently broadened the scope of its rules governing the operations and activities of commodity pool operators and commodity trading advisors...
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SEC Proposes Rules Easing Prohibition On General Solicitations
The SEC recently proposed rules mandated by the Jumpstart Our Business Startups Act (the “JOBS Act”) to eliminate, in certain securities offerings pursuant to Regulation D under the Securities Act, the prohibition against general solicitation and general advertising and restrictions...
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