Searching Content indexed under Corporate/Commercial Law by Joel Wattenbarger ordered by Published Date Descending.
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Podcast: Private Fund Regulatory Update – Network And Cloud Storage
Also, they or their private funds may instead have obligations under other similar regulations.
United States
25 Jul 2019
Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, LTD. v. SEC, providing valuable insight for investment ...
United States
29 May 2019
SEC Scrutinizes Sale Of Mortgage Interests Among Affiliated Funds
The sale of mortgage assets between investment vehicles managed by the same adviser has come under scrutiny by the Securities and Exchange Commission ("SEC").
United States
15 Apr 2019
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
This Ropes & Gray podcast series highlights developments in Washington, D.C., affecting private funds and their legal, regulatory and compliance obligations.
United States
21 Mar 2019
Notable September Developments In The Cryptocurrency Space
Notably, the order contained no analysis explaining the basis for the SEC's conclusion that the tokens were securities.
United States
1 Oct 2018
Ropes & Gray Files Comments On SEC's Proposed Interpretation Of Advisers Act Fiduciary Duty
On August 7, 2018, Ropes & Gray filed a comment letter with the SEC regarding the Commission's April 18, 2018 "Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers".
United States
8 Aug 2018
Regulatory Reporting Under AIFMD – An Update And Comparison To SEC's Form PF
The AIFMD introduces new regulatory reporting requirements for alternative investment fund managers established in the EEA and non-EEA AIFMs that market their fund in an EEA state.
European Union
30 Oct 2014
SEC Brings First Action Against A Private Equity Fund Adviser For Misallocation Of Portfolio Company Expenses
The SEC charged private equity fund adviser Lincolnshire Management, Inc. with breaching its fiduciary duty to two of its private equity funds.
United States
24 Sep 2014
SEC Adopts Rules To Implement The Private Fund Investment Advisers Registration Act
On June 22, 2011, the Securities and Exchange Commission ("SEC") adopted rules to implement certain provisions under the Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), which was signed into law as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").
United States
28 Jun 2011
SEC Proposes Reporting Obligations for Advisers to Private Funds on New Form PF
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") directed the Securities and Exchange Commission (the "SEC") and the Commodity Futures Trading Commission (the "CFTC") to require investment advisers to private funds to maintain records and file reports containing such information as the SEC and CFTC deem necessary to assist the Financial Stability Oversight Council (the "FSOC") in assessing systemic risks.
United States
9 Feb 2011
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