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Investment Strategy
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Seyfarth Shaw LLP
Avid subscribers to Beneficially Yours may recall where we started in June 2020 when the DOL issued proposed regulations addressing how ERISA fiduciaries should evaluate...
Willkie Farr & Gallagher LLP
The Staff of the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published a risk alert on April 9, 2021,1 highlighting observations of the Division Staff (Staff)...
Winston & Strawn LLP
The September 2021 pooling of Small Business Investment Company ("SBIC") debentures was priced at 1.304%.
Lippes Mathias Wexler Friedman
Prior to the COVID-19 Pandemic, as a result of successes in economic investments in gaming, hospitality and other industries, Native American tribes had seen significant increases in revenues over the last several years.
Katten Muchin Rosenman LLP
The importance of investment advisers and broker-dealers to comply with obligations under Regulation Best Interest and Form CRS was highlighted by the recent filing of 27 ...
Katten Muchin Rosenman LLP
Spearheaded by Katten's Financial Markets and Funds practice, the report examines how heads of investment can use direct investments as part of a dual investment strategy for pursuing multiple investment goals and improving portfolio performance.
Seyfarth Shaw LLP
Pension fund assets, historically, have comprised one of the largest sources of fossil fuel investments. Increasingly, however, there is growing interest from pension funds in sustainability, and ...
Morrison & Foerster LLP
Morrison & Foerster offers a complimentary nine-part series for startup founders, executives, and investors on the legal side of founding a startup.
Troutman Pepper Hamilton Sanders
The Office of the Chief Accountant of the SEC's Division of Investment Management periodically issues "Dear Chief Financial Officer" letters to help registered investment companies...
McGuireWoods LLP
Sixth Street has led an $830 million growth equity investment into Caris Life Sciences, according to a news release.
Proskauer Rose LLP
Judge Joshua D. Wolson of the U.S. District Court for the Eastern District of Pennsylvania recently dismissed a Lanham Act suit that challenged critical comments on a blog (not this one!).
Cadwalader, Wickersham & Taft LLP
A firm settled FINRA charges for failing to detect that its representative recommended an unsuitable investment strategy.
Morrison & Foerster LLP
The study draws on quantitative and qualitative data provided by members of Impact Capital Managers.
Akin Gump Strauss Hauer & Feld LLP
The Securities and Exchange Commission's (SEC, or Commission) Division of Examinations (Division) recently issued a Risk Alert highlighting staff observations ...
Winston & Strawn LLP
On April 9, 2021 the U.S. Securities and Exchange Commission ("SEC") Division of Examinations ("Division") released a Risk Alert highlighting observations from recent examinations
Mayer Brown
The first observation that the staff shared is highly charged: potentially misleading statements regarding ESG investing processes and representations regarding adherence to global ESG frameworks.
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") cautioned investors against "making emotional decisions" in response to social media campaigns that may negatively affect their investment strategies.
Shearman & Sterling LLP
On February 22, 2021, the United States Court of Appeals for the Fourth Circuit unanimously affirmed the dismissal of a putative class action.
Mayer Brown
Recently, the US Securities and Exchange Commission ("SEC") adopted amendments to the definition of accredited investor ("AI") and amendments to the definition of Qualified Institutional Buyer.
Morrison & Foerster LLP
Manager and investor interest in open-end real estate ("OERE") funds focused on Asia investments has exploded in recent years, with continued growth expected.
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