On October 17, 2017, the SEC Division of Corporation Finance issued new guidance on the use of non-GAAP financial measures. Please click through to access the SEC Guidance. Here is the link to the Release: ...

Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC Guidance on Non-GAAP Financial Measures

On October 17, 2017, the SEC Division of Corporation Finance issued new guidance on the use of non-GAAP financial measures. Please click through to...

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SEC STAFF RELEASES GUIDANCE FOR U.S. MARKET PARTICIPANTS REGARDING U.S. REGULATED ACTIVITIES AND COMPLIANCE WITH MIFID II

The U.S. regulatory framework has presented challenges to market participants that must also structure their practices to comply with the...

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New Customer Due Diligence Requirements for Financial Institutions

 

In May 2016, the Financial Crimes Enforcement Network (FinCEN), U.S. Department of the Treasury, issued final rules under the Bank Secrecy Act...

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October 2017 Compliance Flash

Attached please find the October 2017 edition of the Compliance Flash. If you have any questions or comments, please contact your primary Investment...

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SEC’s Division of Investment Management Extends Limited “Loan Rule” Relief

In a no-action letter dated September 22, 2017 (the “September 2017 Letter”), the Office of Chief Counsel of the SEC’s Division of Investment...

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