Searching Content indexed under Finance and Banking by Stephanie Monaco ordered by Published Date Descending.
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SEC Settles Charges With 79 Self-Reporting Advisers In Share Class Selection Disclosure Initiative
On March 11, 2019, the US Securities and Exchange Commission announced that it settled charges against 79 investment advisers who self-reported violations.
United States
4 Apr 2019
OCIE's 2019 Examination Priorities And 2018 Enforcement Actions: Practice Points For Advisers To Consider
The US Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its 2019 examination priorities on December 20, 2018,
United States
27 Feb 2019
US Securities And Exchange Commission Rule Proposal For Registered Funds' Use Of Derivatives
The Rule Proposal includes a new rule, Rule 18f-4, which is an exemptive rule that would allow funds to enter into certain derivatives and financial commitment transactions notwithstanding the asset coverage restrictions of Section 18.
United States
1 Feb 2016
SEC Preparing New Asset Management Industry Rules That Will Increase Reporting Requirements, Require Stress Tests, And Limit Derivatives Investments
The Wall Street Journal (the "Journal") has reported1 that the US Securities and Exchange Commission ("SEC") is drafting proposed rules for the asset management industry that are designed to address the perceived risks posed by the industry to the financial system.
United States
22 Sep 2014
Summer 2014 Fund Finance Market Review
n this Summer 2014 edition of our Fund Finance Market Review, we discuss some of the more noteworthy trends impacting the subscription credit facility and fund finance markets.
United States
7 Aug 2014
US Securities and Exchange Commission Settles Its First Whistleblower
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission's first whistleblower anti-retaliation case.
United States
30 Jun 2014
US Securities And Exchange Commission Clarifies And Expands Its Interpretation Of "Knowledgeable Employee" Under The US Investment Company Act
On February 6, 2014, the Staff of the Division of Investment Management of the Securities and Exchange Commission ("SEC") issued the Managed Funds Association (the "MFA) a no-action letter (the "MFA Letter") clarifying and expanding the SEC’s interpretation of the defined term "Knowledgeable Employee" in Rule 3c-5 under the Investment Company Act of 1940 (as amended, the "Investment Company Act").
United States
21 Feb 2014
Final Regulation Implementing the Volcker Rule
The US federal financial regulators recently approved the much-anticipated joint final regulation implementing the Volcker Rule.
United States
19 Dec 2013
US Commodity Futures Trading Commission Releases FAQs For CPOs and CTAs
On August 14, 2012, the US Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight released a set of frequently asked questions and answers.
United States
23 Aug 2012
Second Circuit Court of Appeals Decision Highlights Potential Liability of Advisers to Related Investors in Securitizations
The plaintiffs alleged that Aladdin’s gross mismanagement of the investment portfolio caused plaintiffs to lose their entire investment in the CDO.
United States
16 Aug 2012
JOBS Act Provides Greater Flexibility to Private Fund Sponsors
The Jumpstart Our Business Startups (JOBS) Act contains two provisions that are particularly beneficial to sponsors of private investment funds.
United States
10 Apr 2012
US Securities and Exchange Commission Adopts New Exemptions for Investment Advisers
On July 21, 2010, The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd- Frank) was signed into law, amending certain portions of the Investment Advisers Act of 1940, as amended (Advisers Act) effective July 21, 2011.
United States
25 Jul 2011
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