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E&Y’s Primer on FACTA and the IM Industry
August 09, 2011
Ersnt & Young LLP has published a useful document outlining the effects of the Foreign Account Tax Compliance Act (FATCA), which became law as part of the Hiring Incentives to Restore Employment (HIRE) Act on 18 March 2010 (P.L. 111-147). FACTA imposes new withholding and information… read more
20 Questions About Board Compliance Committees
June 13, 2011
Corporate Compliance Insights, an online knowledge sharing forum intended to encourage interaction amongst members of the corporate compliance community, has published a short piece outlining some questions boards should ask themselves about their compliance committees. According to the article: The questions are not intended… read more
Foley & Lardner: Whistleblower Action Items for Advisers and Funds
June 09, 2011
Reacting to the SEC's recent adoption of whistleblower rules, the Foley & Lardner law firm has published a short list of recommended action items for funds and investment advisers to deal effectively with the new rules. As part of their oversight duties with… read more
Law Firms Examine the SEC’s New Whistleblower Rules
June 06, 2011
On May 25, 2011, the Securities and Exchange Commission adopted rules to create a whistleblower program that rewards individuals who provide the agency with high-quality tips that lead to successful enforcement actions. In short, the new rules provide that a whistleblower who voluntarily provides the… read more
Schapiro: SEC to Focus on Risk
March 29, 2011
In her address before SIFMA's Compliance and Legal Society Annual Seminar on March 23, 2011, Chairman Mary L. Schapiro outlined a new focus for the agency's Office of Compliance, Inspections and Examinations (OCIE). According to Schpiro OCIE will focus its examinations in part on "engaging… read more