United States: Fund Management/ REITs

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.

Investment Management & Funds Regulatory Update - August 2025

In this issue, we discuss an ADI issued by the SEC's Division of Investment Management regarding registered closed-end funds of private funds, as well as a recent enforcement action involving...

United States Finance

DP

Davis Polk & Wardwell

Treasury Department Seeks Comment On Methods To Detect Illicit Activity Involving Digital Assets

Welcome to Goodwin's Financial Services News Roundup. Our newsletter highlights important legal, regulatory, and business developments related to financial services and banking.

United States Finance

GP

Goodwin Procter LLP

SEC Charges Private Equity Adviser For Management Fee Offset Practices Inconsistent With Governing Documents

On August 15, 2025, the SEC announced settled charges against a registered investment adviser to private equity funds (the "Adviser") for breaches of fiduciary duty...

United States Finance

ST

Simpson Thacher & Bartlett

Investment-Related Highlights

The NAIC Summer National Meeting was held in Minneapolis from August 10-13, 2025. This Legal Update reports on selected investment-related topics from the Summer National Meeting...

United States Insurance

MB

Mayer Brown

Special Qualified Small Business Stock Issues Applicable To Pooled Investment Fund Partnerships

United States Finance

HK

Holland & Knight

SEC v. TZP Management Associates, LLC: Insights Into Private Fund Enforcement Priorities Under Chair Atkins

United States Finance

PR

Proskauer Rose LLP

SEC Staff Announces Reversal Of Policy Limiting Retail Access To Registered Funds Of Funds

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Global Survey Of ESG Regulations For Asset Managers

Worldwide Finance

KG

K&L Gates LLP

Navigating Private Equity Exit Challenges: How A Rapid Portfolio Exit Readiness Execution Plan Can Boost Valuations

United States Finance

AM

Alvarez & Marsal

SEC Rule 206(4)-8: Enforcement Standard May Shift In The Atkins Era

United States Finance

AP

Anderson P.C.

President Trump Signs Executive Order Directing Review Of Alleged "Debanking"

United States Finance

SJ

Steptoe LLP

Executive Order Directs Regulators To Expand Access To Alternative Assets In 401(k) Plans

United States Employment

GG

Groom Law Group

FCA Publishes Its Findings On TCFD Climate Reporting Following A Multi-Firm Review

United States Finance

JD

Jones Day

Derivatives And Securities Dealers' Pre-Hedging Of Client Trades Faces Potential New Rules

United States Finance

B

Bracewell

Trump Administration Passes The One Big Beautiful Bill Act

United States Tax

FL

Foley & Lardner

From 1925 To Today: How The FAA Transformed Dispute Resolution - The Importance Of Preserving The Core Values Of Arbitration

United States Litigation

J

JAMS

Workplace Violence: Why Employers Can't Afford To Ignore The Warning Signs

United States Employment

OK

Offit Kurman

Arbitration Essentials: How To Initiate And Navigate An International Arbitration, Part 2: Hearings

United States Litigation

J

JAMS

From Copyright Case To AI Data Crisis: How The New York Times v. OpenAI Reshapes Companies' Data Governance And EDiscovery Strategy

United States Technology

NM

Nelson Mullins Riley & Scarborough LLP

Alternatives: A New Type Of Diversification For High-net-worth Investor Portfolios

We've all heard the phrases "Timing is everything" or "It's better to be lucky than smart." In many respects, these sentiments could apply to investing in the stock market.

United States Finance

KR

Kaufman Rossin

LP-led Fund Secondaries – What You Need To Know

Fund secondaries transactions have grown enormously over the last 20 years or so. Recently, funds have been under pressure to return capital to investors in the context...

United States Finance

KL

Herbert Smith Freehills Kramer LLP

Sustainability Under The Microscope: ESMA's Reality Check

On the 30 June 2025, the European Securities and Markets Authority ("ESMA") published its final report on the 2023–2024 Common Supervisory Action ("CSA") on the integration of sustainability risks and disclosures.

United States Finance

PR

Proskauer Rose LLP

CRD VI—European Banking Authority Report On Direct Provision Of Services From Third Country Institutions

This note discusses the European Banking Authority's (EBA's) report, published on July 23, 2025, which addresses whether and when EU non-bank entities should be allowed to deal with locally unregulated non-EU banks.

European Union Finance

AO

A&O Shearman

Visionary Perspectives: The Future Of Private Credit

United States Wealth Mgt

D

Dechert

Capital Solutions: Five Surprising Takeaways

United States Commercial

AG

Akin Gump Strauss Hauer & Feld LLP

Federal Bank Regulatory Agencies Issue Joint Statement On Crypto-Asset Safekeeping By Banking Organizations

United States Finance

GP

Goodwin Procter LLP

Joint Ventures For Public REITs: Opportunities And Challenges

United States Finance

GP

Goodwin Procter LLP

European Central Bank Plans To Fine Banks For Failures To Address Climate Change

United States Finance

M

Mintz

Further Reform For UK Private Fund Managers: The Government's Road Map For Growth In Financial Services

United States Finance

GP

Goodwin Procter LLP

Bank Secrecy Act Postponed For Investment Advisers And Exempt Reporting Advisers

United States Government

LS

Lowenstein Sandler

FINRA Finalizes SLATE Rule 6540: The Definitive Guide To Securities Lending Transparency Requirements (Effective 2026)

United States Finance

AP

Anderson P.C.

Dissolving Your Business: Essential Legal Steps To Protect Your Interests

United States Finance

SH

Scarinci Hollenbeck LLC

The Tax Joys Of Opportunity Zones

United States Tax

GG

Greenberg Glusker Fields Claman & Machtinger

Bank Secrecy Act Postponed For Investment Advisers And Exempt Reporting Advisers

On July 21, the United States Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) announced its intent to postpone compliance with new regulatory requirements imposing certain anti-money...

United States Government

LS

Lowenstein Sandler

FINRA Finalizes SLATE Rule 6540: The Definitive Guide To Securities Lending Transparency Requirements (Effective 2026)

On April 2, 2026, FINRA Rule 6540 under the new SLATE (Securities Lending and Transparency Engine) Rule 6500 Series will take effect, ushering in a new era of regulatory transparency in the securities lending market.

United States Finance

AP

Anderson P.C.

Dissolving Your Business: Essential Legal Steps To Protect Your Interests

If you're considering closing your business, it's crucial to understand that simply shutting your doors does not end your legal obligations.

United States Finance

SH

Scarinci Hollenbeck LLC

The Tax Joys Of Opportunity Zones

The 2025 tax bill extends and expands the tax benefits to taxpayers that have capital gain and invest an amount equal to the realized gain to acquire an interest...

United States Tax

GG

Greenberg Glusker Fields Claman & Machtinger

Jonathan Gould Confirmed As Comptroller Of The Currency

United States Finance

BS

Ballard Spahr LLP

2025 Compliance Reminder: BE-180 Survey Of Cross-Border Financial Services Transactions

U.S. persons who provided or received more than $3 million of financial services, such as investment advisory services, fund management or brokerage services,1 to or from non-U.S. persons, such as Cayman master funds, during 2024 must file a Form BE-180 report with the Bureau of Economic Analysis.

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Weil Private Funds Regulatory Review

Like much of the federal government, the Securities and Exchange Commission (the "SEC" or "Commission") has undergone significant and rapid change in the first six months of the Trump administration.

United States Commercial

WG

Weil, Gotshal & Manges LLP

New Option For Excess Fee Income Rebates In Private Equity Funds For Non-US And US Tax-Exempt Investors

This update discusses a new and interesting development with respect to how certain non-US and US tax-exempt investors can receive a "rebate" of previously paid management fees with respect...

United States Tax

M

Mintz

Dan Hunter In Hedge Fund Alert On The Increase In Break Fees And Spinout Agreements

In the competitive landscape for top investment professionals, negotiations between star portfolio managers and major hedge fund operators are increasingly focused...

United States Finance

SR

Schulte Roth & Zabel LLP

One Big Beautiful Bill Act – Tax Considerations For Investment Funds

United States Tax

FL

Foley & Lardner

International Fund Formation: Cross-Border Legal Considerations

Worldwide Finance

FL

Fridman Law Firm

Form D Filings & Regulation D Exemptions: A Guide For Fund Managers

United States Finance

FL

Fridman Law Firm

State vs. Federal Fund Formation Regulations: What Startups Should Know

United States Finance

FL

Fridman Law Firm

Global Trends In Private Markets: Spotlight On The Middle East 2025

Worldwide Finance

AO

A&O Shearman

Senate Passes Revised Budget Bill

United States Tax

CW

Cadwalader, Wickersham & Taft LLP

Regulatory Monitoring

United States Finance

AO

A&O Shearman

ESMA Report On The Integration Of Sustainability Risks And Disclosures Under SFDR

United States Finance

JD

Jones Day

Landmark FinCEN Orders Prohibit Fund Transfers Involving Three Mexican Financial Institutions Based On Illicit Opioid Trafficking Concerns

United States Finance

ML

Milbank LLP

Alumni Reflections: Capitalizing On Connections With Kerry Shriver And Meredith Moran

United States Finance

PR

Proskauer Rose LLP

Shareholder Activism In The REIT Sector: An Evolving Landscape

United States Finance

GP

Goodwin Procter LLP

Federal Reserve Board Removes Reputational Risk From Examination Ratings

United States Finance

SM

Sheppard Mullin Richter & Hampton

OCC Enters Consent Orders Against New York-Based Bank

United States Finance

SM

Sheppard Mullin Richter & Hampton

Financial Markets And Funds Quick Take | Issue 39

United States Finance

KM

Katten Muchin Rosenman LLP

Why Don't More 401(k) Plans Have Lifetime Income Options?

United States Finance

CB

Cohen & Buckmann

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Latest Videos

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Featured Speaker: State Of The Real Estate Capital Markets, REIT, Private And IPO Market (Video)

GP

Goodwin Procter LLP

Retail Investors & Closed-Ended Funds: A Tactical Approach (Video)

AG

Akin Gump Strauss Hauer & Feld LLP

Fund Finance Friday: Industry Conversations – Brickfield Recruitment's Fund Finance Banker's Compensation Report (Video)

CW

Cadwalader, Wickersham & Taft LLP

Cannabis Investor Considerations For Private Fund Managers (Video)

FH

Foley Hoag LLP

The AXA Decision and Excessive Fee Litigation: Takeaways for the Investment Management Community

RG

Ropes & Gray LLP

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