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Articles by Emilie Oberlis
SEC Proposes New Valuation Practice Framework For Funds And BDCs
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SEC Proposes New Valuation Practice Framework for Funds and BDCs | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Eases Path for Exchange-Traded Fund (ETF) Launches | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
OCIE Releases Risk Alert on Compliance Issues Related to Investment Advisers’ Supervised Persons With Disciplinary History | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Sues Investment Adviser for Nondisclosure of Revenue Sharing Agreement Details | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Provides Clarification on Investment Advisers’ Proxy Voting Responsibilities and the Applicability of Proxy Rules to Voting Advice | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
OCIE Warns That Investment Advisers and Broker-Dealers Are Putting Investor Information at Risk | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Adopts ‘Loan Rule’ Amendments | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Adopts Regulation Best Interest and Related Rules and Interpretations | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Unregistered Crypto Exchange Fined by SEC | JD Supra
JD Supra Privacy Policy Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Takes Its Initial Aim at Crypto Funds | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
U.S. Resolution Stay Regulations – Final Rules and ISDA Protocol | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
France's Financial Markets Authority Cosndiers It's Options for Reguating Intiial Coin Offerings
On 26 October 2017, France’s Financial Markets Authority, the “Autorité des Marchés Financiers” (“AMF”), published a discussion paper focusing on initial coin offerings (“ICOs”) that highlights the (many) dangers that arise from these unregulated transactions and discusses the regulation options that it currently foresees.[1] The discussion paper is comprised of a short factual assessment and summary legal analysis (based on French law) of ICOs and the nature of tokens, which the AMF states...
FINRA Requests Comment on Rules Governing Outside Business Activities and Private Securities Transactions
Introduction The Financial Industry Regulatory Authority (“FINRA”) recently issued a notice requesting comments on the effectiveness and efficiency of its Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person) (collectively, the “Rules”).[1] This retrospective review of the Rules is further evidence of FINRA’s belief that it is appropriate to review its significant rulemaking actions after an appropriate period to...
France moves forward with Blockchain for certain securities exchanges
Following the adoption of Act no.2016-1691, dated 9 December 2016, on Transparency, Anti-Corruption, and Modernization of Economic Life (“Sapin II” – see our compliance coverage here) and the publication of its responses to a public consultation request on 30 August 2017 (see our coverage here), the French Ministry of Finance published a draft document aimed at adapting the French legal framework to the use of blockchain technology.
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