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Searching Content indexed under Fund Management/ REITs by Edward G. Eisert ordered by Published Date Descending.
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1
California Enacts Legislation Requiring Public Investment Funds To Make Disclosures Concerning Fees And Expenses Paid To Private Fund Managers
Governor Jerry Brown approved an amendment to the California Government Code, effective January 1, 2017, that requires a "public investment fund," defined to mean "any fund of any public pension or retirement system..."
United States
28 Sep 2016
2
SEC Adopts Amendments To Form ADV
On August 25, 2016, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV that are designed to provide additional information regarding advisers...
United States
1 Sep 2016
3
SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity And Transition Plans
On June 28, 2016, the Securities and Exchange Commission proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans.
United States
15 Jul 2016
4
Financial Stability Board Issues Asset Management-Related Policy Recommendations
On June 22, 2016, the Financial Stability Board (FSB) published for public consultation Proposed Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities.
United States
1 Jul 2016
5
SEC Issues Order Increasing The Net Worth Test Under Rule 205-3 Under The Investment Advisers Act Of 1940 To $2.1 Million
The definition of "qualified client" includes an assets under management standard set as $1,00,000 and a net worth test that set at (in the case of a natural person, with assets held jointly with a spouse), more than $2,000,000.
United States
24 Jun 2016
6
SEC's Division Of Investment Management Issues Letter Regarding Independent Verification Required By Rule 206(4)-2 Under The Advisers Act
On April 25, 2016, the Staff of the Division of Investment Management of the Securities and Exchange Commission issued a no-action letter that provides that it would not recommend enforcement action...
United States
5 May 2016
7
FINRA Reports On Digital Investment Advice
On March 15, the Financial Industry Regulatory Authority (commonly referred to as "FINRA") issued a Report that emphasizes that offerings of digital investment advice requires sound governance and supervision...
United States
30 Mar 2016
8
SEC Announces 2016 Examination Priorities
On January 11, the SEC announced its Office of Compliance Inspections and Examinations' (OCIE) 2016 priorities.
United States
25 Jan 2016
9
No-Action Letter Guidance Under Rule 506(b) Of Regulation D
On August 6, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission issued a no-action letter to Citizen VC, Inc.
United States
12 Aug 2015
10
Personal Securities Transactions Reports By Registered Investment Advisers: Securities Held In Accounts Over Which Reporting Persons Had No Influence Or Control
In a recent Guidance Update, the Staff of the Division of Investment Management of the Securities and Exchange Commission addressed certain issues arising under Section 204A of the Investment Advisers Act of 1940...
United States
8 Jul 2015
11
Responses To Frequently Asked Questions Regarding The Commission's Rule Under Section 13 Of The Bank Holding Company Act (The "Volcker Rule")
The Staff of the SEC Division of Trading and Markets, Investment Management, and Corporate Finance provided updated guidance on June 12, 2015 in response to frequently asked questions...
United States
25 Jun 2015
12
SEC Staff Issues Update Guidance Regarding Cybersecurity
Recently, the Staff of the Division of Investment Management of the Securities and Exchange Commission (the "Staff") issued updated Guidance that highlights the importance of cybersecurity...
United States
6 May 2015
13
Financial Industry Week In Review - March 30, 2015
On March 26, the CFPB announced that it is considering stronger consumer protections relating to payday loans, vehicle title loans, deposit advance products, and certain high-cost installment loans and open-end loans
United States
22 Apr 2015
14
The SECís Office Of Compliance Inspections And Examinations (OCIE) Publishes Risk Alert On Addressing Cybersecurity Issues For Broker-Dealers And Investment Advisers
On February 3, the SECís OCIE published a Risk Alert that contains observations based on examinations of more than 100 broker-dealers and investment advisers.
United States
13 Feb 2015
15
Federal Reserve Acts To Extend Conformance Period Under Volcker Rule For Legacy Covered Funds Until July 2017
The Board previously extended the conformance period to July 21, 2015, when the agencies adopted rules to implement Section 619.
United States
5 Jan 2015
16
ESMA Call For Evidence On AIFMD Passport And Third Country AIFMs
On November 7, the European Securities and Markets Authority (ESMA) published a call for evidence on the EU passport under the Alternative Investment Fund Managers Directive (AIFMD) and third country Alternative Investment Fund Managers (AIFMs).
United States
25 Nov 2014
17
ESMA Securities And Markets Stakeholder Group Responds To ESMA Consultations On Draft Technical Standards And Technical Advice On The Market Abuse Regulation
ESMA's Securities and Markets Stakeholder Group published its response to the July consultations on draft technical standards and draft regulatory standards.
European Union
29 Oct 2014
18
ESMA Final Draft RTS for Central Clearing of Interest Rate Swaps under EMIR
On October 2, the European Securities and Markets Authority (ESMA) published a report containing final draftregulatory technical standards (RTS) for the central clearing of interest rate swaps (IRS) under EMIR
United States
17 Oct 2014
19
G20 Publishes Report On Effective Approaches To Support Implementation Of G20/OECD High-Level Principles On Long-Term Investment Financing By Institutional Investors
On September 21, the G20 published a report on effective approaches to support implementation of the G20/OECD high-level principles on long-term investment financing by institutional investors.
European Union
11 Oct 2014
20
Morgan Stanley Settles MBS Class Action With Pension Funds
A stipulation and agreement of settlement was filed in relation to an action brought against Morgan Stanley & Co. by a group of pension funds.
United States
1 Oct 2014
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