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K&L Gates
On 8 February 2024, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted amendments to Form PF (the Amendments)...
WilmerHale
WilmerHale attorneys Phillip Gillespie and Gretchen Passe Roin discuss the SEC's emergency steps to address registered adviser disruption in the wake of the COVID-19 pandemic and its efforts to...
K&L Gates
Earlier this year, the US Securities and Exchange Commission approved 11 spot Bitcoin ETFs. In Hong Kong, in view of rapid developments of virtual asset (VA) products and growing investment products...
Goodwin Procter LLP
In our previous alert AIFMD II (Near) Final Text Agreed: What's New? and in our recent update in our Horizon Scan, we noted that the Council of the European Union (EU)...
Ropes & Gray LLP
On January 19, 2024, the SEC staff published a set of FAQs concerning the tailored shareholder reports as required by the amendments set forth in a 2022 adopting release...
Mintz
Within the unpredictable landscape of start-ups and private companies, market volatility can significantly alter a company's financial trajectory. An integral part of navigating this volatility...
Schulte Roth & Zabel LLP
In a recent article for The Hedge Fund Journal titled, "UK Short Selling Update: UK reporting threshold goes up to 0.2% from February 2024," Schulte Roth & Zabel partner Anna Maleva-Otto...
Partridge Snow & Hahn
On October 24, 2023, representatives of the Treasury, the Federal Reserve, and the Federal Deposit Insurance Corporation released their final rule with respect to the Community Reinvestment Act.
Brown Rudnick LLP
A fund consists of a pool of money contributed by multiple individuals with a view to accessing investment opportunities they would otherwise not have access to.
Perkins Coie LLP
The year 2023 began with many, if not most, economists calling for recessions in the United States and abroad. High inflation, restrictive central banks, and slowdowns...
Godfrey & Kahn S.C.
The SEC's Division of Examinations (Division) announced its 2024 examination priorities in October 2023.
Kaufman Rossin
Every new year brings a new opportunity to refocus on what's most important in your life, set goals for what you want to accomplish, and start making progress.
AlixPartners
Among disruptive forces, digital innovation is a special beast—enormous, ubiquitous, affecting every aspect of an enterprise's operations.
Goodwin Procter LLP
FINRA has offered a gift to member firms and fund managers just in time for the holiday season — but like a new puppy, the gift comes with a lot of responsibility.
Ropes & Gray LLP
The Financial Industry Regulatory Authority, Inc. ("FINRA") has proposed long-awaited changes to FINRA Rule 2210 (Communications with the Public)...
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry.
AlixPartners
After a period of pandemic-driven growth, software companies now confront a harsh reality.
Foley & Lardner
In this episode, hosts Michael Thomas and Drew Howell recap season 1 of Busted, all about the trusted employee.
Arnold & Porter
In the latest development in a long-running regulatory saga, the U.S. Department of Labor (DOL) on October 31, again proposed major changes (the Proposal)...
Cadwalader, Wickersham & Taft LLP
What's in a name? According to the Securities and Exchange Commission, quite a bit. On September 20, 2023, the SEC adopted amendments to the Investment Company Act of 1940.
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