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Publications

Hogan Lovells Publications

SEC proposes narrow broker-dealer registration exemption for finders Private Capital Insights

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 registration under Section...

Hogan Lovells Publications

SEC amends rules to expand on definition of "accredited investor"

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

Funds Bulletin, 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

Funds Bulletin, February 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

Trump Administration Moves on the Dodd Frank Act

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

Anti-Money Laundering and Cybersecurity Among the 2017 SEC Examination Priorities AML and Cybersecurity Alert

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

Publications

Funds bulletin, October 2016

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Includes our thoughts and comments on the delay to the PRIIPs KID delegated...

Publications

Funds Bulletin September 2016

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry).

Hogan Lovells Publications

Funds Bulletin July & August 2016

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Includes our thoughts and comments on ESMA's advice on the AIFMD third country...

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