Global Financial Regulatory Blog

Tag Archives: investments

SEC Staff Issues No-Action Relief to Broker-Dealers From Reg BI and Form CRS Obligations Related to Certain Family Offices

The no-action relief applies to family offices with at least US$50 million in total assets (Institutional Family Offices) and requires broker-dealers seeking to rely on the relief to establish and maintain specific additional policies and procedures. By Dana G. Fleischman, Stephen P. Wink, Naim Culhaci, and Deric Behar On December 23, 2020, the Staff of … Continue Reading

SEC Proposal: Will You Still Be a 13F Filer?

The SEC proposes a significant increase in the 13F reporting threshold from US$100 million to US$3.5 billion. By Stephen P. Wink, Naim Culhaci, Jacqueline Marie Rugart, and Deric Behar On July 10, 2020, the US Securities and Exchange Commission (SEC) released a proposed rule amendment to increase the Form 13F reporting threshold from US$100 million to … Continue Reading

European Commission Report Assesses AIFMD Application and Scope

The European Commission has published its long awaited report that assesses the application and scope of AIFMD. By Carl Fernandes and Kishore Bhindi On 10 June 2020, the European Commission published a report assessing the application and scope of the Alternative Investment Fund Managers Directive (AIFMD). The report was prepared pursuant to Article 69 of … Continue Reading
LexBlog