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Searching Content indexed under Fund Management/ REITs by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Agencies To Raise Asset Thresholds For Management Interlock Rules
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC (collectively, the "agencies") adopted a final rule to increase the major asset
United States
11 Oct 2019
2
CME Group Issues Fines For Trade Practice Violations
The Chicago Mercantile Exchange Group issued fines against an energy company and a fund management company for trade practice violations.
United States
24 Sep 2019
3
SEC Grants Exemption To Real Estate Investment Trust To Repurchase Shares
The SEC Division of Corporate Finance and Office of Mergers and Acquisitions granted no-action relief to a Maryland-based real estate investment trust (the "REIT") from Securities Exchange Act
United States
19 Sep 2019
4
SEC Grants Exemptive Relief To ETF From Tender Offer Rules
The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an exchange-traded fund ("ETF") from requirements under SEA Rule 14e-5
United States
23 Aug 2019
5
Trade Associations Comment On CCP Default Management Auctions
Several trade associations provided feedback on key areas of central counterparty ("CCP") default management auctions.
United States
15 Aug 2019
6
Federal Register: FINRA Proposes To Amend Requirements On Research Reports
The FINRA proposal to eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017
United States
18 Jul 2019
7
IOSCO Provides Final Recommendations On ESG And "Sustainable Finance" In Emerging Markets
The IOSCO Growth and Emerging Market Committee provided recommendations to market participants and member jurisdictions on regulations and guidance concerning sustainable finance
United States
21 Jun 2019
8
Fund Manager And CIO Settle SEC Charges For Failure To Properly Value Assets
A private fund manager and its chief investment officer ("CIO") settled SEC charges for compliance deficiencies that resulted in inaccurate valuations of client assets.
United States
10 Jun 2019
9
FTC Charges Company With Misusing Consumer Funds In Crowdfunding Scheme
The FTC charged a company and its officer with using customer funds raised through crowdfunding on personal expenses and marketing, rather than the development of several promised products.
United States
22 May 2019
10
Annuities Firm Settles FINRA Charges For Misrepresenting Contents Of Bond Fund Portfolio
An annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds to 401(k) sponsors and participants.
United States
20 May 2019
11
Industry Associations Comment On SEC Regulatory Framework For "Fund Of Funds" Arrangements
Several industry associations proposed amendments to an SEC-proposed new rule intended to "streamline and enhance" the regulatory framework for "fund of funds arrangements"
United States
20 May 2019
12
Treasury Proposes Second Set Of Regulations On Opportunity Zones
The U.S. Treasury Department ("Treasury") clarified the Opportunity Zone tax incentive through a second set of proposed regulations.
United States
16 May 2019
13
Associations Call On IOSCO To Impose Standardized ESG Disclosure Requirements
The Managed Funds Association and the Alternative Investment Management Association (collectively, the "Associations") advocated for IOSCO and global securities regulators.
United States
29 Apr 2019
14
SEC Grants Relief To Collective Trust Funds Accepting Assets Of Certain Puerto Rico Retirement Plans
The SEC Division of Investment Management granted no-action relief, allowing certain Puerto Rico retirement plans to participate in "bank-maintained" collective trust funds without requiring the trust to register...
United States
23 Apr 2019
15
ICI Opposes NY State Bills To Reduce Rebate Of Stock Transfer Sales Tax
The Investment Company Institute ("ICI") expressed opposition to New York State bills that would reduce the rebate of stock transfer sales tax from 100 percent to 60 percent.
United States
23 Apr 2019
16
SEC Proposes Revising Offering Process For BDCs And Closed-End Funds
The SEC proposed modifying the offering process for business development companies ("BDCs") and other closed-end investment companies under the Securities Act.
United States
3 Apr 2019
17
SEC Commissioner Elad Roisman Recommends Agency Consider Proxy Guidance For Asset Managers
SEC Commissioner Elad Roisman recommended that the agency consider additional guidance for asset managers with respect to the use of proxy advisory firms.
United States
2 Apr 2019
18
Cadwalader Attorneys Analyze Delegation Requirements Under EU AIFMD Regime
Beginning in April 2020, depositaries under the EU Alternative Investment Fund Managers Directive ("AIFMD") ...
European Union
18 Feb 2019
19
Cadwalader Adds Real Estate Finance Partner To London Office
Duncan Hubbard, a leader in advising financial institutions, funds and alternative lenders on European and U.S. real estate investments and structured finance transactions ...
United States
30 Jan 2019
20
Trade Groups Question Need For Global LEI System To Collect Fund Relationships
Accordingly, the associations commended the LEI ROC decision to make the disclosure of fund relationship structures optional.
United States
28 Jan 2019
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