Monthly Archive: November 2010

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Unregistered Brokers: Watch out for Shortcuts

Unregistered Brokers: Watch out for Shortcuts One of the things I’ve learned since returning to private practice three years ago is that people like to raise money for profitable enterprises when they can.  And...

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Happy Birthday FCPA Guidance

Happy Birthday FCPA Guidance The FCPA Guidance turned two years old recently – November 14 to be exact. No one wrote about the milestone, nor has anyone praised the FCPA Guidance. To be the...

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UK Government Publishes Implementing Regulations for UCITS V

UK Government Publishes Implementing Regulations for UCITS V On February 25, the UK government published the Undertakings for Collective Investment in Transferable Securities Regulations 2016 (Regulations) along with an explanatory memorandum and transposition table....