Searching Content indexed under Investment Strategy by Mayer Brown ordered by Published Date Descending.
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Attorneys General Sue The SEC To Invalidate Regulation Best Interest
The Attorneys General of seven states – New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon – and the District of Columbia
United States
18 Oct 2019
Fiduciary Framework For Investment By Defined Contribution Plans In Alternative Assets
With the maturing, growth and increasing importance of defined contribution plans to the retirement security of US employees
United States
15 Jul 2019
Positier Investor Testing
The Investor Advocate Report also included a report on the newly developed research initiative POSITIER (Policy Oriented Stakeholder and Investor Testing for Innovative and Effective Regulation).
United States
25 Jan 2019
SEC Investor Advocate Report On Activities For Fiscal Year 2018: Survey Results Regarding Investment Advice
The Office of the Investor Advocate released its "Report on Activities for the Fiscal Year 2018" (the "Report").2 During the 2018 fiscal year, the Investor Advocate focused significant attention
United States
25 Jan 2019
A Sample Form CRS For Structured Products
In April 2018, the SEC released its proposed rules on Form CRS Relationship Summary ("Form CRS"), which would assist retail investors in choosing investment firms, professionals and account types...
United States
1 Aug 2018
In a recent paper titled "Stock Market Short-Termism's Impact," author Mark J. Roe counters arguments that US companies are so driven by short-term objectives that they are foregoing investment in R and D...
United States
18 Jul 2018
US Bilateral Investment Treaties: Recent Developments
The United States is currently party to 48 Bilateral Investment Treaties, including seven that have been signed but not yet ratified.
14 Jun 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
Nationalized Financial Institutions May Be Entitled to Sovereign Immunity Under Pre-Nationalization Contracts
In Fir Tree Capital Opportunity Master Fund v. Anglo Irish Bank Corporation Limited (November 28, 2011)
United States
5 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
Enforceability Of Capital Commitments In A Subscription Credit Facility
A subscription credit facility (a "Facility"), also frequently referred to as a capital call facility, is a loan made by a bank or other credit institution (the "Creditor") to a closed end real estate or private equity fund (the "Fund").
United States
15 Jul 2011
Recent Developments on California Lobbyist Registration Requirements Applicable to Certain Placement Agents
The California Fair Political Practices Commission (FPPC) recently released two Advice Letters, dated April 7, 2011, and April 20, 2011, setting forth certain clarifications with respect to AB 1743, which was signed into law on September 30, 2010.
United States
16 Jun 2011
US Second Circuit Restores Securities Class Action Against Global Asset Manager
Plaintiffs brought a putative securities class action on behalf of investors who purchased the common units of the Blackstone Group, LP (Blackstone) at the time of its initial public offering (IPO) on June 21, 2007.
United States
28 Mar 2011
Emerging Issues under Interim Final Regulation on Plan Service Provider Fee Disclosure (New Effective Date)
On July 16, 2010, the US Department of Labor (DOL) issued an interim final regulation (the Regulation) amending its longstanding regulations interpreting the statutory exemption for the provision of plan services under Section 408(b)(2) of the Employee Retirement Income Security Act (ERISA).
United States
25 Feb 2011
US Securities and Exchange Commission Proposes New Reporting Rules for Advisers to Private Funds
On January 25, 2011, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC) jointly proposed rules that would require reporting by investment advisers to certain types of pooled investment vehicles on new Form PF (the "Proposal").
United States
18 Feb 2011
U.S. Securities And Exchange Commission Proposes Net Worth Standard For Accredited Investors
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) required that the definition of "accredited investor" in rules issued under the Securities Act of 1933 (Securities Act) exclude the value of a natural person’s primary residence for purposes of determining whether a natural person has a net worth in excess of $1 million.
United States
1 Feb 2011
IRS Issues New Guidance on Group Trusts
The US Internal Revenue Service (IRS) recently issued Revenue Ruling 2011-1 (the "Ruling").
United States
6 Jan 2011
A Swap is a Swap is a …What?!
Title VII of the Dodd Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), entitled "Wall Street Transparency and Accountability Act," contains significant reforms of the over-the-counter derivatives markets.
United States
22 Nov 2010
California Imposes Lobbyist Registration Requirement and Contingency Compensation Prohibition on Certain Placement Agents
California Assembly Bill No. 1743 (AB 1743) was introduced in response to investigations into alleged corrupt practices involving the use of placement agents with respect to public retirement systems or pension funds.
United States
2 Nov 2010
US IRS Issues Preliminary FATCA Guidance Establishing Due Diligence Procedures and Information Reporting Rules for Foreign Financial Institutions
On August 27, 2010, the US Internal Revenue Service (the "IRS") published Notice 2010-60 (the "Notice") containing preliminary guidance regarding implementation of the so-called FATCA rules.
United States
21 Sep 2010
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