The Securities and Exchange Commission's Office of Compliance Inspections and Examinations' long-awaited examination priorities for 2018 will focus on five principal areas...
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Laura Friedrich
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Shearman & Sterling LLP
Tel: +1 212 8484000Shearman & Sterling LLP
Fax: +1 212 8487179
599 Lexington Avenue
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United States
New York
10022
United States
With Jay Baris, Andrew (Buddy) Donohue, John Finley, III, Nathan Greene, Jeremy Kutner, Lona Nallengara, Paul Schreiber
With John Adams, Nathan Greene, Edward Miles, Paul Schreiber, Lorna Xin Chen
With effect from 6 April 2017, the United Kingdom has overhauled its limited partnership legislation to create a new form of limited partnership: the Private Fund Limited Partnership ("PFLP").
United States: SEC Adopts New Disclosure And Recordkeeping Requirements For Investment Advisers {Sep 2016}
With John Adams, John Finley, III, Nathan Greene, Thomas Majewski, John Reiss, Paul Schreiber, Patrick D. Sweeney, Lorna Xin Chen
In May 2015, we reported on proposals by the Securities and Exchange Commission to expand public disclosures by RIAs of various aspects of their SMA businesses.
With Beau Buffier, George Casey, Wayne Collins, David Connolly, Jessica Delbaum, John Finley, III, Nathan Greene, Heather Kafele, Kelly Karapetyan, Scott Petepiece
According to the DOJ complaint, ValueAct purchased over $2.5 billion of voting securities of Halliburton and Baker Hughes after the two companies announced their merger in November 2014.
With John Adams, Azam Aziz, John Finley, III, Geoffrey Goldman, Nathan Greene, Thomas Majewski, Donna Parisi, John Reiss, Paul Schreiber, Patrick D. Sweeney, Lorna Xin Chen
Public comments on the proposal are due with the agency 60 days from the proposal's publication in the Federal Register.
With John Adams, Azam Aziz, John Finley, III, Geoffrey Goldman, Nathan Greene, Thomas Majewski, Donna Parisi, John Reiss, Paul Schreiber, Patrick D. Sweeney, Lorna Xin Chen
Section 205 of the US Investment Advisers Act of 1940 generally prohibits a registered investment adviser from receiving compensation based on a share of capital gains on or appreciation of funds of an advisory client.
With John Adams, Azam Aziz, John Finley, III, Geoffrey Goldman, Nathan Greene, Thomas Majewski, Donna Parisi, John Reiss, Paul Schreiber, Patrick D. Sweeney, Lorna Xin Chen
Every five years, the US Securities and Exchange Commission is required to adjust for inflation the agency's dollar-based qualification tests for when an SEC-registered investment adviser can receive compensation...
With John Adams, Azam Aziz, Bjorn Bjerke, John Finley, III, Geoffrey Goldman, Nathan Greene, Donna Parisi, Barnabas Reynolds, Russell Sacks, Paul Schreiber, Lorna Xin Chen
On April 18, 2016, the US Financial Stability Oversight Council issued an update on its multi-year review of potential financial stability risks in the asset management industry.
With John Adams, Azam Aziz, Bjorn Bjerke, John Finley, III, Geoffrey Goldman, Nathan Greene, Thomas Majewski, William Murdie, Donna Parisi, John Reiss, Paul Schreiber, Lorna Xin Chen
A rule proposed by the US Securities and Exchange Commission would provide for new limits on the use of derivatives—together with new risk management measures...
With John Adams, John Finley, III, Nathan Greene, Thomas Majewski, John Reiss, Russell Sacks, Paul Schreiber, Lorna Xin Chen
On September 22, 2015, a unanimous US Securities and Exchange Commission proposed far-reaching rule reforms intended to address liquidity risks in the mutual fund industry.
With John Adams, John Finley, III, Nathan Greene, Thomas Majewski, Jennifer D. Morton, John Reiss, Russell Sacks, Reena Agrawal Sahni, Paul Schreiber, Lorna Xin Chen
Financial institutions other than investment advisers are already subject to BSA and self-regulatory organization rules requiring anti-money laundering programs.
With John Adams, John Finley, III, Nathan Greene, Thomas Majewski, John Reiss, Paul Schreiber, Lorna Xin Chen
Global financial regulators continue to push to dampen risk in the system and to improve their readiness to respond to the next crisis.
With John Adams, John Finley, III, Nathan Greene, Thomas Majewski, John Reiss, Paul Schreiber, Lorna Xin Chen
In the wake of the financial crisis, the US Securities and Exchange Commission adopted detailed data reporting rules for private funds on both Form ADV (2010) and Form PF (2011).
With Robert Ellison, Stuart Fleischmann, Heather Kafele, Manuel Orillac, Bradley Sabel, Russell Sacks, Antonia Stolper, Robert Treuhold
This newsletter provides a snapshot of the principal US and selected global governance and securities law developments during the fourth quarter of 2014 that may be of interest to Latin American corporations and financial institutions.
United States: The FSOC Re-Proposal Of Rules For Designating SIFIS: Something Old And Something New {Oct 2011}
With Azad Ali, Azam Aziz, John Finley, III, Geoffrey Goldman, Nathan Greene, Jesse Kanach, Donald Lamson, Donna Parisi, Barnabas Reynolds, Gregg Rozansky, Bradley Sabel, Russell Sacks, Paul Schreiber
When an agency finds it necessary to repropose a rulemaking, one can safely surmise that something needs to be added and hopefully something may be saved.
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