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SEC Adopts Investment Adviser And Broker-Dealer Rulemaking Package, Highlighted By The New "Best-Interest" Standard
On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a highly anticipated set of rules addressing the standard of conduct of registered investment advisers
United States
20 Aug 2019
2
Treasury Provides Further Clarity With Second Set Of Proposed Regulations For Investing In Qualified Opportunity Funds
On April 17, the Treasury Department (Treasury) released the second set of proposed regulations concerning investing in qualified opportunity funds (QOFs) and qualified opportunity zones (QOZs) under Section 1400Z-2 of the Internal Revenue Code...
United States
5 Jul 2019
4
PE Investment In Physician Practice Management ‒ What's To Come In 2019?
Private equity (PE) investors entered the physician practice management (PPM) market in 2011, and eight years later the PPM sector continues to be a ripe middle market for PE investors looking to diversify their portfolios.
United States
19 Feb 2019
5
Global Developments In Enforcement, Regulatory Frameworks And Court Rulings
On Oct. 29, the U.S. Attorney's Office for the Southern District of California announced that a criminal defendant pleaded guilty in federal court to operating a bitcoin exchange ...
Worldwide
14 Nov 2018
6
The SEC Targets Private Fund Advisers For Repeated Delinquent Filings
On June 1, 2018, the Securities and Exchange Commission (SEC) issued a stern warning to registered investment advisers who manage private funds – and frankly to all registrants...
United States
7 Jun 2018
7
New SEC Enforcement Initiative Encourages Advisers To Self-Report Mutual Fund Share Class Violations
On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission ("SEC") announced a new initiative to encourage advisers to self-report share class violations.
United States
26 Feb 2018
8
ERSP To Clever Investor: Enough With The Easy Money Claims!
But mentor group thanked by ERSP for positive steps on disclosure
United States
1 Nov 2017
9
Ten Investment Advisory Firms Violate SEC's Pay-to-Play Rule
The Securities and Exchange Commission recently announced that ten investment advisory firms agreed to pay penalties in the tens of thousands of dollars to settle SEC charges...
United States
17 Feb 2017
10
2016 Year-End Securities Litigation And Enforcement Highlights
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
10 Feb 2017
11
Top 10 SEC Enforcement Highlights Of 2016
This is the third year we are providing our annual Top Ten list of Enforcement Highlights.
United States
27 Jan 2017
12
New California Law Requires Additional Public Disclosure By Private Funds
The State of California has enacted new legislation that requires additional public disclosure by the funds of any California public pension or retirement system, including the University of California (Public Investment Funds).
United States
25 Oct 2016
13
The Increasing Gatekeeper Liabilities Of Fund Administrators
There is a noticeable trend in the fund services industry that is creating increased exposure and legal liability for fund administrators
United States
16 Aug 2016
14
Highlights Of Substantial Tax Changes In The Consolidated Appropriations Act, 2016
Expiring tax provisions and "extenders" legislation have become fairly common in recent years.
United States
19 Jan 2016
15
SEC Announces 2016 Examination Priorities
Earlier today, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) announced its 2016 examination priorities.
United States
14 Jan 2016
16
Hedge Funds: A Look Toward 2016
BakerHostetler's Hedge Fund Industry Practice hosted a program called "Hedge Funds: A Look Toward 2016" at the New York Yacht Club that was attended by over 60 industry participants.
United States
13 Jan 2016
17
AML And Investment Advisers: Understanding FinCEN's New Anti-Money Laundering Rules
In announcing the proposed rule, FinCEN Director Jennifer Shasky Calvery noted that "[i]nvestment advisers are on the front lines of a multi-trillion dollar sector of our financial system."
United States
8 Sep 2015
18
2015 Mid-Year Securities Litigation And Enforcement Highlights
Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
7 Aug 2015
19
The IRS Turns Up The Heat On Hedge Fund-Backed Reinsurance
After years of inaction, the Internal Revenue Service (IRS) is throwing up obstacles to enjoying the tax advantages of hedge fund-backed reinsurance.
United States
12 Jun 2015
20
Unanimous Supreme Court Vacates Tibble v. Edison International: Much Ado About Nothing? Or Something More?
On May 18, 2015, the United State Supreme Court, by a 9-0 vote, vacated and remanded the Ninth Circuit's holding in Tibble, et al. v. Edison International, et al., 729 F.3d 1110 (9th Cir. 2013).
United States
26 May 2015
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