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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
Using Irish Treaty Funds To Avoid US Taxes In Direct Lending
Private debt funds raised more than $100 billion for the fourth consecutive year in 2018,[1] and reached their highest level of fundraising on record during the first half of 2019.[2]
United States
10 Oct 2019
3
Investment Fund Defends Its Tax Treatment Of Basket Options
An investment fund challenged an IRS determination that various contracts entered into between the fund and an investment bank resulted in the fund
United States
7 Oct 2019
4
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
5
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
6
Cadwalader Attorneys Explain Volcker 2.0
Cadwalader attorneys analyzed final regulations (the "Amended Final Regulations") adopted by the Office of the Comptroller Currency ("OCC")
United States
28 Aug 2019
7
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
8
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
9
A Tale Of Two Continents - European CMBS v U.S. CMBS & CRE CLOs
U.S. CMBS issuance equalled approximately $1711 billion during 2018.
Worldwide
19 Jul 2019
10
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
11
EMIR Refit Update
Regulation (EU) No 648/2012 ("EMIR")1 imposed a range of obligations which can apply to counterparties trading in derivatives, including a clearing obligation, risk mitigation obligations
European Union
24 Jun 2019
12
FTC Charges Two Japanese Corporations With Alleged HSR Avoidance Scheme
Two Japanese corporations each agreed to pay $2.5 million to settle Federal Trade Commission ("FTC") charges of violating the premerger
United States
24 Jun 2019
13
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
14
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
15
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
16
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
17
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
18
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
19
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
20
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
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