NYC CCO Compliance Roundtable
April 23, 2013
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When: May 16th 2013 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle and Janaya Moscony, along with
When: May 16th 2013 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle and Janaya Moscony, along with
When: October 7th 2013 Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103 Mark Dowdell Assistant Regional Director in the
When: October 10th 2013 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle, Partner, Blank Rome LLP, and
When: June 3rd & 4th, 2013 Where: Grand Hyatt – 109 East 42nd St. New York, New York Linda Smith will participate in a panel
We have heard so much about the SEC’s focus on private fund managers, but now attention is turning to include registered funds as well. OCIE
On February 27, 2013, Chief Justice Roberts delivered the opinion of a unanimous U.S. Supreme Court in Gabelli, et al vs. U.S. Securities and Exchange
On February 21, 2013, the SEC announced its 2013 exam priorities. The SEC outlined its market-wide priorities followed by priorities in four distinct examination programs:
Many Commodity Pool Operators (CPOs) are currently in the process of preparing to file the new Form CPO-PQR, which is required by the Commodity Futures
All commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) that claimed an exemption last year must re-affirm their exemptions within 60 days from calendar
Bloomberg News and Reuters reported on Sunday, February 3 about a lawsuit filed by two U.S. pension funds on January 18, 2013 against an ETF
