Searching Content indexed under Investment Strategy by Goodwin Procter LLP ordered by Published Date Descending.
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New Disclosure Obligations for Sponsors of ERISA Plans and (Financial Services Alert - May 1, 2012)
Significant attention continues to be focused on the compensation paid to entities that provide investment management, recordkeeping and other services to plans subject to the Employee Retirement Income Security Act of 1974, as amended ("ERISA").
United States
2 May 2012
The JOBS Act And Other Recent Congressional Activity — Why REITs Should Care
Real estate investment trusts ("REITs") and other real estate companies seeking to access the public and private capital markets should not overlook certain recent federal government initiatives.
United States
30 Apr 2012
The JOBS Act: A Game Changer For Emerging Growth Companies
The House of Representatives yesterday voted 380-41 to approve the Jumpstart Our Business Startups Act (H.R. 3606) (the "JOBS Act"), which was previously approved by the Senate by a vote of 73-26. The JOBS Act is now headed to President Obama, who is expected to sign it into law.
United States
5 Apr 2012
Financial Services Alert - February 21, 2012
On February 8, 2012, the IRS and the Treasury Department released proposed regulations under the Foreign Account Tax Compliance Act ("FATCA").
United States
22 Feb 2012
Federal District Court Dismisses Derivative Claims By Mutual Fund Investors Based On Failure To Follow Proper Procedure Following Demand On Fund Board
The U.S. District Court for the Western District of Tennessee (the "District Court") (Judge Mays presiding) issued an order (the "Order") that dismissed without prejudice claims brought by certain shareholders.
United States
10 Nov 2011
Indian Authorities Limit Exit Mechanisms By Shutting Down Put Options Held By Foreign Investors
Twice a year, India’s Ministry of Commerce and Industry consolidates and updates the country’s foreign direct investment ("FDI") policy framework.
20 Oct 2011
Financial Services Alert – August 30, 2011
The U.S. District Court for the Northern District of California (the "District Court") (Judge Koh presiding) issued an order (the "Order") that dismissed with prejudice the final remaining claims in an investor class action suit against a bond index fund (the "Fund"), its trustees, the Fund’s adviser (the "Adviser") and related entities, alleging losses incurred as a result of investments in mortgage-related securities that were inconsistent with the Fund’s investment objective and violated its
United States
31 Aug 2011
Financial Services Alert - July 19, 2011
The SEC issued an order that increases two dollar amount thresholds in Rule 205-3 under the Investment Advisers Act of 1940 related to "qualified client" status; the Rule permits a registered adviser to charge a qualified client, i.e., one that meets one or the other of these thresholds (or satisfies alternative criteria under the Rule) a fee based on a share of capital gains on, or capital appreciation of, the client’s account (a "performance fee"). Currently, under the two tests in question, a
United States
21 Jul 2011
FDIC Brings Suit Against Former CEO Of Indymac; Former Washington Mutual Senior Officers Seek Dismissal Of FDIC Suit On Grounds That They Should Be Protected By Business Judgment Rule
In the aftermath of the financial crisis of 2008 and the significant losses suffered by the FDIC’s Deposit Insurance Fund, the FDIC has brought eight director and officer ("D&O") liability suits against former institution-affiliated parties of failed financial institutions and the FDIC has asserted that it intends to file more D&O suits over the next few years.
United States
18 Jul 2011
SEC Adopts New Advisers Act Rules And Implements Registration Exemption
A wide range of U.S. and non-U.S. investment advisers, particularly managers of hedge, venture capital, private equity, real estate and other privately offered funds.
United States
13 Jul 2011
Timing And Exemptions During The Next Year
Effective as of July 21, 2011, the Dodd-Frank Act eliminated Section 203(b)(3) of the Advisers Act (commonly referred to as the "private adviser" exemption), which provided a federal registration exemption for any adviser that: (1) had fewer than 15 clients over the prior 12 months; (2) did not hold itself out to the public as an investment adviser; and (3) did not act as an investment adviser to a registered investment company or a business development company.
United States
6 Jul 2011
Family Office Exemption Under Dodd-Frank – SEC Releases Final Rule
Persons providing investment advice to families, who may have previously relied on SEC guidance on family offices or on the "fewer-than-15" clients exemption for private advisers (eliminated by the Dodd-Frank Act).
United States
27 Jun 2011
Financial Services Alert - June 7, 2011
On June 2, 2011, the U.S. Treasury Department’s Financial Crimes Enforcement Network ("FinCEN") issued FinCEN Notice 2011-1 (Revised) (the "Notice"), extending until June 30, 2012 the date for filing Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts ("FBAR"), by certain individuals with signature or other authority only over certain foreign financial accounts.
United States
8 Jun 2011
Financial Services Alert - May 24, 2011
The SEC issued an order (the "Order") settling administrative proceedings against a registered investment adviser (the "Adviser") and its chief executive officer (the "CEO") and its chief compliance officer until February 2010 (the "CCO") relating to SEC findings that (a) the Adviser had provided incorrect responses to inquiries from prospective clients about the Adviser’s experience with SEC examinations; (b) the Adviser had failed to comply with Rule 206(4)-2 (the "Custody Rule") under the Inv
United States
26 May 2011
Financial Services Alert - April 26, 2011
Last week, the Massachusetts Securities Division (the "Division") proposed phasing-out a commonly-used investment adviser registration exemption and creating new, more narrow registration exemptions.
United States
28 Apr 2011
Equity Compensation for Private Equity Investors and Entrepreneurs – Ten Current Topics
Equity compensation is a subject that captures the attention of private equity investors and company management teams alike. Historically, the rules and standard techniques used to grant equity compensation were relatively static.
United States
11 Apr 2011
California Requests Comment on Proposal to Change Regulations Exempting Certain Investment Advisers from Registration
On March 15, the California Department of Corporations (the "DOC") released an invitation for comment on a proposal (the "Proposal") to amend the existing rules governing certain exemptions from California’s investment adviser licensing requirements to reflect changes to the federal statutory and regulatory scheme.
United States
28 Mar 2011
DOL Delays Effective Date for Interim Final Regulation Regarding Service Provider Fee Disclosure (Part 1 of 2)
As discussed in the "August 3, 2010 Alert", the Department of Labor (the "DOL") last summer issued an interim final regulation under Section 408(b)(2) of the Employee Retirement Income Security Act of 1974, as amended ("ERISA").
United States
16 Feb 2011
10th Circuit Affirms District Court Analysis of Broker-Dealer Exemption under Advisers Act as Applied to Broker-Dealer Affiliate of Insurance Company Selling Variable Insurance Product (Part 2 of 2)
The U.S. Court of Appeals for the Tenth Circuit (the "Appeals Court") affirmed a district court decision granting summary judgment to an insurance company and its affiliated broker-dealer (collectively referred to as the "company") that were being sued for alleged violations of the Investment Advisers Act of 1940 (the "Advisers Act") in connection with the sale of a variable universal life insurance policy.
United States
16 Feb 2011
Financial Services Alert – February 1, 2011
The SEC and the CFTC proposed joint rules (the "Proposed Rules") that would implement provisions of the Dodd-Frank Act by creating a new Form PF, which is designed to gather information regarding the private fund industry for use by the Financial Stability Oversight Council in monitoring systemic risk.
United States
4 Feb 2011
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