JD Supra

"SEC Finalizes Registration Rules for Security-Based Swap Entities"

On August 5, 2015, the Securities and Exchange Commission (SEC) adopted final registration rules for security-based (SB) swap dealers and major SB swap participants (collectively SBS Entities).
JD Supra

Are You a Fund Manager Looking to Set Up a Separate Entity and Avoid Registration? Recent SEC Enforcement Action Highlights Risks of Operational Integration for Firms

In a recent enforcement action announced by the Securities and Exchange Commission (SEC), the issue of how one investment adviser can affect the exemption status of related advisers under the ...
Forbes India

Legal Entity Identifier Registration - How to get an LEI code in India

The issue of legal entity identifier is an important matter in India. It has become a basic requirement for doing global business and financial transactions. Legal entities require this code for ...
Nextgov

GSA to Verify Identities of Some SAM Users After Transition

New capabilities being added in May to beta.SAM.gov—the General Services Administration’s consolidated procurement website—will come with new, stringent security protocols requiring certain users to ...