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Searching Content indexed under Finance and Banking by Joel Wattenbarger ordered by Published Date Descending.
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Podcast: Credit Funds: Replacing LIBOR – Steps To Consider Taking Now
In this podcast, Jill Kalish Levy and Joel Wattenbarger discuss the impending cessation of LIBOR at the end of 2021 and its proposed replacement, SOFR, and how they differ.
United States
14 Jun 2019
2
Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, LTD. v. SEC, providing valuable insight for investment ...
United States
29 May 2019
3
SEC Scrutinizes Sale Of Mortgage Interests Among Affiliated Funds
The sale of mortgage assets between investment vehicles managed by the same adviser has come under scrutiny by the Securities and Exchange Commission ("SEC").
United States
15 Apr 2019
4
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
This Ropes & Gray podcast series highlights developments in Washington, D.C., affecting private funds and their legal, regulatory and compliance obligations.
United States
21 Mar 2019
5
Podcast: Keeping Up With Recent Changes And Trends In Private Fund Regulation
This Ropes & Gray podcast series, which we expect to update periodically, will highlight developments in Washington, D.C. that affect private funds and their legal, regulatory and compliance obligations.
United States
22 Jan 2019
6
Regulatory Reporting Under AIFMD – An Update And Comparison To SEC's Form PF
The AIFMD introduces new regulatory reporting requirements for alternative investment fund managers established in the EEA and non-EEA AIFMs that market their fund in an EEA state.
European Union
30 Oct 2014
7
SEC Brings First Action Against A Private Equity Fund Adviser For Misallocation Of Portfolio Company Expenses
The SEC charged private equity fund adviser Lincolnshire Management, Inc. with breaching its fiduciary duty to two of its private equity funds.
United States
24 Sep 2014
8
SEC Issues Guidance On Bad Actor Rules
On December 4, 2013, the Division of Corporation Finance (the "Division") of the U.S. Securities and Exchange Commission (the "SEC") issued new Compliance and Disclosure Interpretations ("CDIs") concerning the recently adopted "bad actor" rules.
United States
10 Dec 2013
9
SEC Adopts Rules To Implement The Private Fund Investment Advisers Registration Act
On June 22, 2011, the Securities and Exchange Commission ("SEC") adopted rules to implement certain provisions under the Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), which was signed into law as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").
United States
28 Jun 2011
10
SEC Proposes Reporting Obligations for Advisers to Private Funds on New Form PF
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") directed the Securities and Exchange Commission (the "SEC") and the Commodity Futures Trading Commission (the "CFTC") to require investment advisers to private funds to maintain records and file reports containing such information as the SEC and CFTC deem necessary to assist the Financial Stability Oversight Council (the "FSOC") in assessing systemic risks.
United States
9 Feb 2011
11
SEC Proposes Rules to Implement the Private Fund Investment Advisers Registration Act
On November 19, 2010, the Securities and Exchange Commission ("SEC") proposed rules to implement certain provisions under the Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), which was signed into law as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").
United States
7 Dec 2010
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