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SEC Adopts Form CRS (Client Relationship Summary) for Advisers and Broker-Dealers

On a June 5, 2019, the SEC adopted Form CRS (“relationship summary”), along with new and amended rules and forms, to improve retail investors’ understanding of the different investment-related services provided by registered broker-dealers, registered investment advisers and dually registered firms (each, a “firm”).

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The AIFMD Third Country Passport – An Update


Time to Read: 1 minutes Practices: Asset Management

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The European Securities and Markets Authority published on 19 July 2016 its final advice to the European Commission on the extension of the marketing passport under the Alternative Investment Fund Managers Directive to 12 non-EEA countries, including the United States. This Alert considers the opportunities available to managers under the marketing passport, and the implications of obtaining it.

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