Searching Content indexed under Investment Strategy by Morgan Lewis ordered by Published Date Descending.
Links to Result pages
Trade Agreement Facilitates Opening Of U.S. Bank Branches In Colombia
New free trade agreement provides capital and regulatory controls that help protect Colombian consumers.
United States
13 Jun 2012
Proposed Restrictions On Fund Offers To Swiss Residents
The Swiss private offering rules may soon require foreign funds to appoint Swiss distributors in order to sell fund interests to Swiss investors.
12 Jun 2012
Form PF Will Result In Substantial Reporting Requirements For Registered Advisers To Private Funds
On October 26 and October 31, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC), respectively, approved rules that will require certain investment advisers to report extensive information to the SEC on Form PF about the private funds they advise.
United States
15 Nov 2011
Implications Of MF Global Inc. SIPC Proceeding For Counterparties And Market Participants
On October 31, the Securities Investor Protection Corporation (SIPC) filed for a protective order under the Securities Investor Protection Act (SIPA) for MF Global Inc., a company registered jointly as an Securities and Exchange Commission (SEC) registered broker and Commodity Futures Trading Commission (CFTC) registered futures commission merchant (FCM). James W. Giddens, the SIPC trustee for Lehman Brothers Inc. (LBI), was named SIPC trustee for MF Global Inc. and on November 1, 2011, Judge Ja
United States
9 Nov 2011
Federal Agencies Propose Implementation Of Volcker Rule
On October 11 and 12, several federal agencies jointly released proposed rules that would implement the so-called "Volcker Rule."
United States
3 Nov 2011
SEC Adopts Large Trader Reporting System
On July 26, two decades after it first proposed adoption of a large trader reporting system, the Securities and Exchange Commission (SEC) voted to adopt Rule 13h-1 (the Rule) under the Securities Exchange Act of 1934 (Exchange Act).
United States
24 Aug 2011
Solicitors as Municipal Advisors Subject to Registration and New Fiduciary Standards
While SEC-registered investment advisers may not be covered by the new municipal advisor requirements, solicitors may be caught up and subjected to new fiduciary duties when soliciting municipal entity clients.
United States
4 Oct 2010
NFA Revises Petition to Restrict Exclusions from Commodity Pool Operator Definition
On June 29, National Futures Association (NFA) submitted to the Commodity Futures Trading Commission (CFTC) a petition for rulemaking (the Petition) that would revise the exclusions from the definition of a commodity pool operator (CPO) under CFTC Rule 4.5.
United States
27 Aug 2010
Private Fund Investment Advisers Registration Act Enacted Into Law
"Hedge fund and private equity fund managers will now be required to register with the SEC or state regulators, while venture capital fund advisers obtain an exemption from registration."
United States
4 Aug 2010
Landmark Legislation Gives SEC New Enforcement Capability
The newly approved financial reform bill contains new measures expanding the SECís enforcement authority and strengthening its oversight and regulatory authority over the nationís securities markets.
United States
22 Jul 2010
SEC Adopts Pay-to-Play Rule Under Investment Advisers Act
On July 1, the U.S. Securities and Exchange Commission (SEC) adopted new Rule 206(4)-5 (the Rule) under the Investment Advisers Act (Advisers Act) aimed at curtailing pay-to-play practices by investment advisers that seek to manage assets of state and local governments.
United States
15 Jul 2010
Congress Set to Arm SEC with Increased Enforcement Capability
The U.S. financial reform legislation that recently passed in the Senate and House is expected, after reconciliation in joint committee, to bring a new expansion of SEC market oversight, including collateral bars for securities laws violators, new whistleblower incentives and protections, and increased regulation of municipal securities.
United States
20 Jun 2010
SECís Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers
On April 14, the Securities and Exchange Commission (SEC) issued a release (Release) proposing that certain large-volume, high-frequency traders (classified as "large traders") be required to self-identify to the SEC, and that broker-dealers that effect transactions for "large trader" customers maintain and produce records of these customersí trades to the SEC.
United States
19 May 2010
Supreme Court Endorses Governing Standard for Mutual Fund Fees Cases Under Investment Company Act: An ERISA Perspective
On March 30, in Jones v. Harris Associates L.P., No. 08-586, __ U.S. __, 2010 WL 1189560 (Mar. 30, 2010)1, the U.S. Supreme Court unanimously affirmed the Second Circuitís analysis in Gartenberg v. Merrill Lynch Asset Management, Inc., 694 F.2d 923 (2d Cir. 1982), as the standard by which the fees mutual funds pay to their investment advisers should be evaluated under Section 36(b) of the Investment Company Act of 1940 (the ICA).
United States
5 May 2010
Down From The Shelf: Special Charter Used To Purchase Failed Bank
Private equity investors long intrigued with the idea of investing in failed depository institutions can now point to a novel success story.
United States
5 Feb 2010
Caveat Obsido: New Red Flag For Investors In Foreign Businesses
The recent conviction of wealthy investor Frederic Bourke by a federal jury in New York reaffirms that the U.S. government's anti-corruption enforcement program, led by the Fraud Section of the Department of Justice, continues to push to the brink the limits of an already sweeping statute.
United States
16 Oct 2009
Links to Result pages