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Searching Content indexed under Fund Management/ REITs by Foley & Lardner ordered by Published Date Descending.
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1
A Summary Of Certain Recent Enforcement And Non-Enforcement Actions
On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for sponsors of private funds and their placement agents.
United States
16 Apr 2019
2
Fund Manager Briefing: Briefing And Capital Raising In Europe
March 29th is Brexit Day unless extended. While extension is what the UK Parliament has voted for, the EU approval process and the length of the extension (If any) remains to be seen.
United States
28 Mar 2019
3
President Trump Signs Executive Order Promoting Opportunity Zones
President Trump signed an executive order yesterday that allotted additional federal resources toward the Opportunity Zone program.
United States
18 Dec 2018
4
An Annual Retirement Plan "Check-Up" May Be Just What The Doctor Ordered!
February is Heart Health Month, which always reminds me to schedule my annual doctor checkup.
United States
14 Feb 2018
5
Presentation And Portability Of Investment Adviser Performance
An investment adviser's investment track record is an important resource when raising capital from prospective investors. However, investment advisers, particularly registered investment advisers ...
United States
22 Nov 2017
6
Emerging Private Fund Manager Guide For Raising Institutional Investor Capital
Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers.
United States
22 Nov 2017
7
Generating Returns Through Better Relationships: How Managed Custody Accounts Benefit Managers And Investors
Institutional investors are under significant pressure to maximise returns.
United States
14 Feb 2017
8
Partnership Tax Audit Reform And Private Funds
Both fund sponsors and investors will need to carefully evaluate the audit provisions of fund agreements and consider whether existing fund agreements should be amended.
United States
20 Oct 2016
9
A Compilation Of Enforcement And Non-Enforcement Actions - 09 September 2016
The Securities and Exchange Commission (SEC) announced that four private equity fund advisers affiliated with Apollo Global Management agreed to a $52.7 million settlement for misleading fund investors.
United States
13 Sep 2016
10
A Compilation Of Non-Enforcement And Enforcement Actions - 02 June 2016
In remarks to the Mutual Fund Directors Forum, SEC Chair Mary Jo White outlined some of the risks and challenges that mutual fund directors face, and she shared her view of the role of directors in assessing risks.
United States
6 Jun 2016
11
Wisconsin Broker-Dealers Will Owe Fiduciary Duties For Retirement Investment Advice
Wisconsin is home to over 10,000 registered broker-dealers, all of whom currently operate without owing federally imposed fiduciary duties.
United States
21 Apr 2016
12
A Compilation Of Enforcement And Non-Enforcement Actions - 31 March 2016
The staff of the SEC issued guidance reminding mutual funds, exchange traded funds, and other registered investment companies of the importance of reviewing their risk disclosures on an ongoing basis.
United States
7 Apr 2016
13
U.S. PFIC Taxation Exemption To Be Narrowed?
The last 15 years have seen the advent of a new reinsurance platform, where hedge funds have sponsored non-U.S. reinsurers, who in turn invest their capital in the sponsoring hedge funds.
United States
5 Apr 2016
14
Investment Advisers And Funds Must Remain Vigilant To Prevent Insider Trading Violations
The SEC continues to actively investigate individuals it believes traded on material nonpublic information purloined from an "insider."
United States
8 Mar 2016
15
A Compilation Of Enforcement And Non-Enforcement Actions - 01 February 2016
Late last year (December 24, 2015), the Financial Industry Regulatory Authority (FINRA) submitted a proposed rule to the U.S. Securities and Exchange Commission (SEC) for adoption.
United States
2 Feb 2016
16
A Compilation Of Enforcement And Non-Enforcement Actions - December 2015
Division Director David Grim addressed the ICI on December 16, 2015. In his remarks, Grim noted 2015 was the 75th anniversary of the 1940 Acts.
United States
30 Dec 2015
17
SEC Steps Up Investigations Of Political Intelligence Firms For Insider Trading
In the last few years, Congress, the U.S. Securities and Exchange Commission (SEC), and the courts have significantly increased their efforts to grapple with insider trading in the realm of political intelligence.
United States
10 Dec 2015
18
A Compilation Of Enforcement And Non-Enforcement Actions - November 2015
The purpose of the Risk Alert was to present the results of the examinations and the staff's concerns about the outsourcing of compliance responsibilities.
United States
2 Dec 2015
19
A Compilation Of Enforcement And Non-Enforcement Actions - October 2015
The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC.
United States
3 Nov 2015
20
Balancing Loyalties For VC Fund Directors Serving On Portfolio Company Boards (Video Content)
When a venture capital fund invests in a portfolio company, it does so through contractual rights, which often includes the placement of a VC fund director on the board of the directors of the portfolio company.
United States
21 Oct 2015
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