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Searching Content indexed under Fund Management/ REITs by J. Paul Forrester ordered by Published Date Descending.
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Safe Harbor For The Distribution Of Research Reports
On November 30, 2018, the SEC adopted a new rule 1 establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports...
United States
15 Jan 2019
2
SEC Grants Conditional No-Action Relief From The Custody Rule For Certain Administrative Agents Under Syndicated Loans
On December 20, 2018, the staff (Staff) of the Division of Investment Management of the US Securities and Exchange Commission (SEC) granted conditional no-action relief to Madison Capital ...
United States
4 Jan 2019
3
SEC Expands Safe Harbor To Promote Research On Investment Funds
On November 30, 2018, the SEC adopted a new rule establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports regarding qualifying investment funds.
United States
10 Dec 2018
4
US Securities And Exchange Commission Proposes Liquidity Management Reforms For Open-End And Exchange-Traded Funds
The US Securities and Exchange Commission (SEC or Commission) has approved certain proposed rule reforms designed to enhance effective liquidity risk management by open-end funds, including mutual funds and exchange-traded funds (ETFs).
United States
29 Sep 2015
5
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
6
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
7
The Volcker Rule—Application To Securitization Transactions
The federal financial agencies on December 10, 2013, approved joint final regulations (the "Final Regulation") implementing section 619 of the Dodd-Frank Act, commonly referred to as the Volcker Rule.
United States
20 Dec 2013
8
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
9
Collateralized Fund Obligations: A Primer
Collateralized fund obligations emerged in the early 2000s as a means of applying securitiza-tion techniques developed for collateralized debt obligations to portfolios of hedge fund and private equity fund investments.
United States
13 Aug 2013
10
SEC Proposes Amendments to Money Market Fund Rule
On June 5, 2013, the SEC voted unanimously to propose changes to the manner in which money market funds ("MMFs") are regulated.
United States
12 Jul 2013
11
CFTC Further Clarifies Commodity Pool Treatment For Certain Securitizations And Provides Additional No-Action Relief For Others
On December 7, 2012, the Division of Swap Dealer and Intermediary Oversight (Division) of the Commodity Futures Trading Commission (CFTC) issued interpretation and no-action letter No. 12-45.
United States
11 Dec 2012
12
CFTC Grants Time-Limited No-Action Relief For Fund Of Funds Operators Otherwise Deemed Commodity Pool Operators
By letter dated November 29, 2012,1 the CFTC granted time-limited no-action relief for fund of funds operators that would be deemed commodity pool operators.
United States
5 Dec 2012
13
US Secretary Of The Treasury Exempts FX Swaps And Forwards From Certain Requirements Under The US Commodity Exchange Act
On November 16, 2012, the US Secretary of the Treasury issued the long-awaited final determination.
United States
21 Nov 2012
14
Family Offices: CFTC Clarifies Status Of Single Family Investment Funds Under The Commodity Pool Operator Rules
On October 3, 2012, Mayer Brown issued a legal update advising about potential issues that could affect family investment funds as a result of recent regulatory changes caused by amendments to the Commodity Exchange Act of 1936 (CEA) by the Dodd-Frank Wall Street Accountability and Consumer Protection Act (Dodd-Frank Act).
United States
8 Nov 2012
15
Family Offices: The Impact Of Commodity Pool Operator Rules On Family Investment Funds
Family offices or high net worth clients often create investment funds to manage commingled family assets.
United States
4 Oct 2012
16
US Securities And Exchange Commission Issues Concept Release And Request For Comments Regarding Investment Company Exclusion Under Section 3(c)(5)(C) Of The Investment Company Act Of 1940
On August 31, 2011, the United States Securities and Exchange Commission (SEC), in Release No. IC-29778 (Release), provides a concept release and requests public comments regarding mortgage-related pools, including certain real estate investment trusts (REITs) and issuers of mortgage-backed securities, that rely on the exclusion under Section 3(c)(5)(C) of the Investment Company Act of 1940 (ICA or 40 Act).
United States
22 Sep 2011
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