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companion Notice and Order by the CFTC on the same day, the National Futures Association (NFA) was authorized to perform registration functions under the new rulemaking.  Specifically, the NFA is…

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Written by Jay Gould and Peter Chess Managed Funds Association (“MFA”) submitted a comment letter (the “Letter”) to the Securities and Exchange Commission (“SEC”) on January 6, 2012 with…

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investment adviser may want to consider when evaluating a compliance policy for the use of social media.  These include, but are not limited to: Usage Guidelines.  Investment advisers may…

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The California Commissioner of Corporations (Commissioner) has released a notice regarding readoption of the emergency regulation on private adviser exemption. On January 5, 2012, the Commissioner will file with…

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Written by Peter J. Chess On November 30, 2011, FINRA and the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a National Exam Risk Alert on effective procedures…

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set of guidelines issued by the CSRC in July 2011.  The guidelines permit securities companies to directly invest in Chinese entities or form “direct investment funds” (“DIF”) to raise and…

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and its investors approximately $1.8 million in sub-adviser fees. MSIM is the primary adviser to The Malaysia Fund (the “Fund”), a closed-end investment company that invests in equity securities of…

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Written by John L. Nicholson On October 13, the Securities and Exchange Commission (SEC) Division of Corporation Finance released CF Disclosure Guidance: Topic No. 2 – Cybersecurity (the “Guidance”),…

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for the purpose of determining compliance with FINRA rules or other applicable regulatory purposes.  In addition, FINRA would afford confidential treatment to any comment or similar letters by FINRA and…