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1
Mutual Fund Sponsors Beware: Recent SEC Staff Guidance Could Result In Lapse In Registration
Mutual fund sponsors should think carefully before agreeing with an SEC Staff request to delay the automatic effectiveness of a fund's annual update.
United States
22 Apr 2019
2
Treasury Requires Mandatory Filings For Foreign Investments In Specified US Businesses
On October 10, 2018, the US Department of the Treasury launched a significant pilot program to implement part of the Foreign Investment Risk Review Modernization Act (FIRRMA) ...
United States
17 Oct 2018
3
ETF Boards Need To Apply Gartenberg Differently
Advisory fee deliberations should consider external distribution, unitary fees and operational differences from mutual funds.
United States
30 May 2017
4
Form SHC Deadline Approaching For Investment Advisers And Other Reporters
Investment advisers should take note that they may be required to file Treasury International Capital Benchmark (TIC) Form SHC by Friday, March 3, 2017.
United States
1 Mar 2017
5
Efficiency At What Cost? Advantages Of A Separate Board for ETFs
Exchange-traded fund (ETF) products and sales have proliferated dramatically in the past five years and the trend promises to continue.
United States
3 Feb 2017
6
Liquidity Management And Reporting Modernization Rulemaking
The Commission also voted to rescind Form N-SAR and replace it with new Form N-CEN.
United States
25 Oct 2016
7
Life And Annuity Series: Class Certified In An ERISA "Unreasonable Compensation" Case
The Colorado federal court concluded last summer that an insurer could be subject to ERISA liability for receiving unreasonable compensation...
United States
18 Jul 2016
8
Life And Annuity Series: Stable Value Funds
Class action plaintiffs have long claimed that insurance companies may become ERISA fiduciaries when offering variable annuity products and funds to 401(k) plans.
United States
31 Mar 2016
9
SEC Proposes New Framework For Regulating Funds' Use Of Derivatives And Leverage
On December 11, 2015, the Securities and Exchange Commission (Commission) proposed a rule that, if adopted, would rescind nearly 30 years of Commission and staff guidance that is currently relied upon by most mutual funds, closed-end funds and business development companies
United States
22 Dec 2015
10
SEC Issues Cybersecurity Examination Risk Alert
This Risk Alert represents the latest step in the SEC's and FINRA's heightened attention to cybersecurity.
United States
21 Sep 2015
11
FINRA Allows Use of Related Performance Information in Communications Regarding Mutual Funds with Financial Intermediaries and Other Institutional Investors
On May 12, 2015, the staff of the Financial Industry Regulatory Authority (FINRA staff) issued an interpretive letter to Hartford Funds Distributors, LLC (Hartford Funds) that conditionally allows distributors of mutual funds to include certain types of related performance information ..
United States
18 May 2015
12
Contribution Caution: Mitigating Risks From Pay-To-Play
With the record-breaking campaign expenditures of the 2014 midterm elections behind us, and the 2016 campaign cycle already heating up, this is an ideal moment for investment advisers (including advisers to venture capital funds and certain private equity and hedge funds) to ensure that they have mechanisms in place to verify compliance with the U.S. Securities and Exchange Commission’s pay-to-play rule.
United States
7 Apr 2015
13
Trends In Insider Trading Investigations Part I: How To Navigate Political Intelligence
Hedge funds and other institutional investors turn to various sources of information in connection with their investment research and diligence activities.
United States
5 Nov 2013
14
Knight Capital Settles Rule 15c3-5 Violations With SEC, Agrees To Pay $12 Million
On October 16, 2013, Knight Capital Americas LLC (Knight Capital) agreed to pay $12 million to settle charges brought by the Securities and Exchange Commission (SEC) alleging that the firm violated Rule 15c3-5 (the Market Access Rule or Rule) under the Securities Exchange Act of 1934
United States
24 Oct 2013
15
SEC Eliminates Advertising and Solicitation Restrictions for Private Funds
On July 10, 2013, the SEC approved final amendments to Rule 506 of Regulation D under the Securities Act of 1933 (Securities Act) to eliminate the current prohibition against general solicitation and general advertising for certain securities offerings, in accordance with, and as mandated by, the Jumpstart Our Businesses Startups Act (JOBS Act).
United States
9 Aug 2013
16
SEC Sanctions Finder As Unregistered Broker, Fund Manager For Aiding And Abetting
In events that will be of interest to many private investment fund managers and sponsors, the Securities and Exchange Commission has settled an action against a consultant for acting as an unregistered broker.
United States
20 Mar 2013
17
CFTC Heightened Enforcement Activity
On October 5, 2012, the Commodity Futures Trading Commission (Commission or CFTC) announced fiscal year 2012 enforcement statistics and case highlights, and identified for practitioners and market participants the Division of Enforcement’s (Division) likely 2013 priorities.
United States
19 Oct 2012
18
SEC Proposes Rules To Eliminate The Prohibition Against General Solicitation And Advertising For Hedge Funds And Other Private Funds
On August 29, 2012, the SEC proposed amendments to Rule 506 of Regulation D under the Securities Act of 1933, as amended (the Securities Act) to eliminate the current prohibition against general solicitation and general advertising for certain securities offerings, in accordance with, and as mandated by, the Jumpstart Our Businesses Startups Act (the JOBS Act).
United States
7 Sep 2012
19
CFTC'S Final Rule On The End-User Exception To The Mandatory Clearing Of Swaps
In general, non-financial entities and certain financial entities that enter into swaps to hedge or mitigate commercial risks are eligible for the Exception.
United States
24 Jul 2012
20
Impact Of Proposed FATCA Regulations On Private Investment Funds
On February 8, 2012, the Internal Revenue Service ("IRS") issued proposed Treasury Regulations (the "Proposed Regulations") under Sections 1471 through 1474 of the Internal Revenue Code (commonly referred to as the "Foreign Account Tax Compliance Act" or "FATCA").
United States
 
29 Feb 2012
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