tailieunhanh - Dodd-Frank: Impact on Asset Management 2012

The main regulatory changes made during 2010 where in New Zealand, Chile, Hungary and Turkey. With regards to New Zealand, responses contained in Tables 1 and 4 have been modified to reflect the requirement of a restriction on the amount of Growth Assets being not less than 15% or more than 25% of the default allocated members assets in growth assets for the KiwiSaver In Chile, the Investment Regime changed the definition of hedging in January 2010. Until 2009, the hedging was made in relation to the denomination currency of mutual funds and investment funds. Since 2010, hedging can. | Chapman and Cutler LLP Attorneys at Law Focused on Finance Dodd-Frank Impact on Asset Management Information for Investment Advisers Broker-Dealers and Investment Funds Updated January 1 2012 Chapman and Cutler LLP 2012. All Rights Reserved Chapman and Cutler LLP Introduction On July 21 2010 President Obama signed into law The Dodd-Frank Wall Street Reform and Consumer Protection Act. The Dodd-Frank Act makes significant changes to the existing financial services legal framework affecting nearly every aspect of the industry. This summary highlights many of the provisions of the Dodd-Frank Act that matter most to the asset management industry investments advisers brokerdealers registered investment companies hedge funds private equity funds and other alternative investment funds. Many of the issues discussed in this summary will remain in a constant state of flux and subject to extensive rulemaking efforts well past July 2011 when many rulemaking requirements were due. In reality very few of the rulemaking efforts required by the Dodd-Frank Act have been completed and regulators have not met many of the Dodd-Frank deadlines. You can obtain additional information on various aspects of the Dodd-Frank Act on our website http . If you have questions or comments about the issues discussed in this summary or any other aspects of the Dodd-Frank Act please contact us. We look forward to being of service. Issues in this Summary Investment Adviser Registration Recordkeeping and Reporting Examination Enforcement Fiduciary Duty Investment Advisers and Broker-Dealers Derivatives Commodity Pool Operators and Commodity Trading Advisors Systemic Risk Regulation Volcker Rule Investor Qualification Standards Disqualification of Bad Actors from Regulation D Offerings Short Sales Broker Voting of Proxies Investment Adviser Custody PCAOB Authority Over Broker-Dealer Audits Municipal Securities Adviser Regulation SIPC Issues Other New SEC

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