Tag Archives: regulation

Greenberg Traurig’s Nanette Aguirre to Speak at Florida Alternative Investment Association Global Macro Perspective 2018

Nanette Aguirre, corporate shareholder, will participate in the Florida Alternative Investment Association (FLAIA) Global Perspective 2018 Conference in Miami, FL, Dec. 5. Aguirre will participate as a speaker and provide an update on developments in current regulation and market trends. Aguirre is joined by a series of panelists from private funds who will address the … Continue Reading

Carl Fornaris to Speak at the Financial Markets Association’s 26th Annual Securities Compliance Seminar

Greenberg Traurig Shareholder  Carl A. Fornaris, co-chair of the Financial Regulatory and Compliance Practice, will speak at the Financial Markets Association’s (FMA’s) 26th Annual Securities Compliance Seminar on April 26 at the B Ocean Hotel in Fort Lauderdale. Fornaris will speak on the panel titled “Key 2017 Legislative and Regulatory Initiatives” and will review current developments … Continue Reading

Elaine Greenberg to Speak at PLI Hedge and Private Funds Seminar

Elaine C. Greenberg, Greenberg Traurig shareholder, will speak at the Practising Law Institute (PLI) Program “Hedge and Private Fund Enforcement & Regulatory Developments 2016” in New York City on Dec. 1. Greenberg will be participating in the session titled “SEC Inspections and Examinations of Private Equity and Hedge Funds.” The seminar provides insights into current … Continue Reading

New SEC Rule Proposal – Written Business Continuity and Transition Plans for Registered Advisers

Earlier this week, the SEC issued a Press Release announcing a Rule Proposal that would require SEC-registered investment advisers to adopt written business continuity and transition plans (BCP) as part of their compliance program.  The comment period on the Rule Proposal is expected to close in September.  Under the proposed rule, an adviser’s written BCP … Continue Reading

Nonbank Fintech: Regulatory Uncertainty as Innovation Flourishes

At the end of March, the OCC issued a whitepaper setting out the principles that it will use to guide the development of a framework to analyze innovations in the banking sector of financial technology, or “fintech” for short.  The paper defined and encouraged “responsible innovation,” and discussed both benefits and risks arising from the … Continue Reading
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