Searching Content indexed under Fund Management/ REITs by Goodwin Procter LLP ordered by Published Date Descending.
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SEC Adopts Rule Changes To Implement JOBS Act Mandate To Remove General Solicitation Prohibition For Rule 506 And Rule 144A Offerings (Financial Services Alert For July 23, 2013)
Goodwin Procter has issued a client alert that addresses the final amendments from the perspective of private fund managers and a client alert that addresses the impact on operating company issuers of the final amendments and related SEC rulemaking action regarding private offerings.
United States
24 Jul 2013
Potential For REIT IPOs Limited, Menna Says (Video Content)
Gil Menna, partner with the law firm of Goodwin Procter, joined for a video interview in Chicago at REITWeek 2013: NAREIT's Investor Forum.
United States
26 Jun 2013
FINRA Provides Guidance On Communications With The Public Concerning Unlisted Real Estate Investment Programs
FINRA issued Regulatory Notice 13-18 to provide guidance to firms on communications with the public concerning unlisted real estate investment programs, including unlisted REITs and unlisted direct participation programs that invest in real estate.
United States
22 May 2013
SEC Settles Administrative Proceedings Against Mutual Fund Trustees And Fund Service Providers Over Advisory Contract Approval Disclosure, Related Recordkeeping, And Adviser Compliance Program Approvals Ė (Financial Services Alert - May 7, 2013)
The order describing the settlement characterizes the Funds as being part of a "turn-key" operation in which the Trustees as a single board oversaw as many as 71 Funds, most of them managed by different, unaffiliated advisers and sub-advisers.
United States
8 May 2013
The EU AIFM Directive For Private Investment Fund Managers Ė Breakfast Seminars In NYC (May 9) And Boston (May 10) (Financial Services Alert For April 30, 2013)
Goodwin Procter attorneys Glynn Barwick, Tom Beaudoin, Elizabeth Fries and John Ferguson will be hosting a breakfast presentation and discussion.
United States
1 May 2013
IRS Allows Banks To Deduct, Rather Than Capitalize, Costs Associated With Selling Foreclosure Property (Financial Services Alert For April 23, 2013)
Banks that foreclose on real property may be entitled to more favorable tax treatment for the expenses they incur to sell the foreclosure property.
United States
24 Apr 2013
ISDA Releases Second Dodd-Frank Protocol (Financial Services Alert For April 2, 2013)
Goodwin Procterís Private Investment Funds Practice issued a Goodwin Procter Alert that provides an update for non-European private fund managers on rules under the European Union Alternative Investment Fund Managers Directive.
United States
3 Apr 2013
SEC Settles Administrative Proceeding Over Deviation From Valuation Policy Stated in Fund Offering Materials and Investor Reports for Registered Adviser's Fund of Private Equity Funds (Financial Services Alert for March 19, 2013
Goodwin Procter Financial Services Group Partner, Peter W. LaVigne, and Counsel, Richard F. Kerr, will be participating in The Financial Markets Associationís 22nd Annual Securities Compliance Seminar.
United States
20 Mar 2013
SEC Exam Review Prompts Risk Alert On Advisers Act Custody Rule Compliance (Financial Services Alert For March 5, 2013)
The SEC's Office of Compliance Inspections and Examinations issued a National Examination Risk Alert that discusses areas of non-compliance with Rule 206(4)-2.
United States
6 Mar 2013
The Alternative Investment Fund Managers Directive Ė ESMA Remuneration Guidelines
On 11 February 2013, the European Securities and Markets Authority ("ESMA") published its final Guidelines on the remuneration of managers under the Alternative Investment Fund Managers Directive (the "Directive").
European Union
5 Mar 2013
OCIE Announces 2013 SEC National Examination Program Priorities (Financial Services Alert For February 26, 2013)
The SECís Office of Compliance Inspections and Examinations ("OCIE") published the 2013 examination priorities for its National Examination Program (the "NEP").
United States
27 Feb 2013
Financial Services Alert: Quarterly Review For February 5, 2013
Round-up of Financial Services Alerts from the previous quarter.
United States
6 Feb 2013
FRB Issues Supplemental Policy Statement Concerning the Internal Audit Function and its Outsourcing (Financial Services Alert For January 29, 2013)
Goodwin Procter Financial Services Group Partner, William Stern, will be participating in an upcoming live phone/web seminar hosted by Strafford Publications.
United States
30 Jan 2013
The Alternative Investment Fund Managers Directive - A Guide For U.S. Managers
The European Commission recently published its Level 2 implementing regulation which contains much of the detail European regulatory authorities need to implement the requirements of the directive.
United States
15 Jan 2013
The Alternative Investment Fund Managers Directive - A Guide For Managers
During November and December, the UK Financial Services Authority ("FSA"), the European Commission and the European Securities and Markets Authority ("ESMA") all published important documents as part of the implementation of the Alternative Investment Fund Managers Directive ("AIFMD").
United States
4 Jan 2013
In Historic Settlement, HSBC Ordered To Pay $1.9 Billion For AML Violations (Financial Services Alert for December 18, 2012)
A combination of federal, local and international government actions and investigations resulted in the largest bank settlement in U.S. history.
United States
19 Dec 2012
Scheduled December 31, 2012 Expiration Of The FDICís Transaction Account Guarantee Program (Financial Services Alert For December 11, 2012)
The Transaction Account Guarantee program, which provides unlimited FDIC insurance coverage for noninterest-bearing transaction accounts, is scheduled to expire on December 31, 2012.
United States
12 Dec 2012
CFTC Staff Postpones CPO Registration Compliance Deadline For Certain Funds Of Funds (Financial Services Alert For December 4, 2012)
The staff of the CFTCís Division of Swap Dealer and Intermediary Oversight issued a no-action letter providing relief to operators of certain commodity pools.
United States
6 Dec 2012
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