Knowledge

News

01 June 2022

On 25 May, the Securities and Exchange Commission (the SEC) introduced a proposal to amend certain rules and forms under the U.S. Investment Advisers Act of 1940 (the Advisers Act) and ...

News

05 April 2022

On March 29, the Division of Examinations (the Division) within the U.S. Securities and Exchange Commission (the SEC) released its annual list of examination priorities for investment...

News

16 February 2022

The U.S. Securities and Exchange Commission (SEC) proposed new rules promulgated under the U.S. Advisers Act of 1940 (the Advisers Act) on Wednesday, 9 February 2022. Pointing to over US$18 ...

Analysis

14 October 2020

The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain "finders" from broker-dealer...

Insights

28 August 2020

The U.S. Securities and Exchange Commission (SEC) adopted amendments on Wednesday, August 26 to several rules under the U.S. Securities Act of 1933 (Securities Act) to modernize, expand,...

Hogan Lovells Publications

30 March 2017

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our analysis of the government's response to the House of Lord's report ...

Publications

06 March 2017

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our summary of the FSCP's position paper on the impact of Brexit on...

Publications

06 February 2017

As predicted during the campaign and after his win in November, President Trump has set his sights on overhauling the financial regulatory system. On February 3, 2017, President Trump...

Hogan Lovells Publications

30 January 2017

Earlier this month, the Securities and Exchange Commission (SEC) announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 Examination Priorities regarding certain...