Kramer Levin’s Funds Talk provides legal commentary on the news and events that matter most to asset managers and funds.
Topics covered in this issue include:
OCIE Issues Risk Alert on Form CRS Compliance
With the compliance date of June 30 approaching for Form CRS and its related rules, the OCIE recently issued a risk alert to provide SEC-registered broker-dealers and investment advisers with the scope and content of its initial examinations with respect to Form CRS compliance.
New York DFS Warns Industry of Heightened Cyber-risks
Amid a “significant” increase in cybercrime associated with the COVID-19 pandemic, the New York State Department of Financial Services has issued guidance to its regulated institutions on how to manage cyber-risks connected to remote working.
Electronic Signatures in the Age of COVID-19
The outbreak of the coronavirus (COVID-19), with its social distancing and remote work protocols, has brought renewed focus on the execution of transactional documentation without the traditional inked (wet) signature.
Decoding Derivatives — Q1 2020
Decoding Derivatives highlights key market developments affecting trading strategies that we see as most relevant for investors in the credit and derivatives markets.