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Searching Content indexed under Fund Management/ REITs 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
2
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
3
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
4
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
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
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
8
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
9
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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