Anastasia T. Rockas

Anastasia T. Rockas

Skadden, Arps, Slate, Meagher & Flom LLP

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"Corporate Finance Alert: SEC Staff Issues Interpretations on General Solicitation Prohibition"

The staff of the SEC Division of Corporation Finance (Staff) recently issued new Compliance and Disclosure Interpretations (CDIs) and an interpretive letter regarding the general solicitation prohibition in securities...more

8/14/2015 - Administrative Interpretation Angel Investors CDIs Compliance Corporate Issuers Disclosure General Solicitation Interpretive Letters Investment Adviser No-Action Letters Rule 506 Offerings SEC

SEC Proposes Expanding Reporting Requirements for Investment Advisers

On May 20, 2015, the Securities and Exchange Commission (the “SEC”) proposed new rules, forms and amendments that would expand the information that registered investment advisers are required to report. The changes are...more

7/20/2015 - Amended Regulation Books & Records Derivatives Form ADV Investment Adviser Investment Advisers Act of 1940 Private Funds RAUM Reporting Requirements SEC Umbrella Registration

"The SEC Proposes FINRA Regulation for High-Frequency Traders"

The Securities and Exchange Commission (the “SEC”) recently proposed an amendment to Rule 15b9-1 under the Securities Exchange Act of 1934 (the “Exchange Act”). The proposed amendment (the “Proposed Amendment”) would require...more

5/27/2015 - Broker-Dealer FINRA High Frequency Trading Rule 15B9-1 SEC Securities Exchange Act

"SEC Issues Cybersecurity Guidance for Investment Companies and Advisers"

In April 2015, the Securities and Exchange Commission (the “SEC”) Division of Investment Management issued a guidance update (the “Update”) identifying cybersecurity of registered investment companies and registered...more

5/8/2015 - Broker-Dealer Cybersecurity Investment Adviser Investment Companies Investment Management New Guidance SEC

"FINRA Provides Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies"

The Financial Industry Regulatory Authority (“FINRA”) issued a regulatory notice (the “Notice”) in March 2015 that provides guidance on effective supervision and control practices for firms engaging in algorithmic trading...more

5/5/2015 - Algorithmic Trading FINRA Market Access Rule Regulation SCI Regulation SHO SEC Software

Department of Labor Proposes New Fiduciary Regulation and Prohibited Transaction Exemption Relief for Investment Advice...

On April 20, 2015, more than three years after withdrawing a similar proposal that was staunchly opposed by the financial services industry, the U.S. Department of Labor (DOL) published in the Federal Register a proposed...more

4/29/2015 - Benefit Plan Sponsors Best Interest Contract Exemptions Broker-Dealer DOL Employee Benefits ERISA Exemptions Fiduciary Duty Financial Services Industry Internal Revenue Code Investment Adviser IRA Pension Funds Prohibited Transactions

"CFTC, SEC Issue Guidance on the Applicability of Certain Regulations to Family Offices"

In November and December 2014, the Commodity Futures Trading Commission (the “CFTC”) and Securities and Exchange Commission (“SEC”), respectively, issued guidance regarding the applicability of certain regulations to family...more

2/27/2015 - CFTC CPOs CTA Family Offices New Guidance No-Action Relief Registration Requirement SEC

"SEC Focus Results in Investment Adviser Fee and Expense Changes"

Recent efforts by the Securities and Exchange Commission (SEC) to bring concentrated regulatory attention to investment managers sharpened over the past year to include a particular focus on the private equity and hedge fund...more

2/4/2015 - Fees Hedge Funds Investment Adviser Investment Management OCIE Private Equity SEC

"MiFID 2: Reforming the Regulation of EU Securities and Derivatives Markets"

The European Union has begun a wide-ranging and radical reform of its securities and derivatives markets through MiFID 2, which is scheduled to be implemented across the EU by January 3, 2017. Implementation is dependent on a...more

1/28/2015 - Derivatives EU Financial Regulatory Reform MiFID Securities

"SEC Provides Guidance on SPVs and Escrows Under the Custody Rule"

In June 2014, the Securities and Exchange Commission (the “SEC”) issued a guidance update (the “Update”) on the application of the custody rule of the Investment Advisers Act of 1940 (the “Custody Rule”) to special purpose...more

10/27/2014 - Custody Rule Escrow Accounts Guidance Update SEC Special Purpose Entities

"CFTC Staff Issues More No-Action Letters to Commodity Pool Operators"

Over the last month, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued four letters providing exemptive, no-action and interpretative relief to commodity...more

10/24/2014 - CFTC CPOs Delegation of Discretion DSIO Filing Requirements JOBS Act No-Action Relief Recordkeeping Requirements Third-Party

"SEC Staff Issues Guidance on Proxy Voting Matters Relevant to Investment Advisers and Proxy Advisory Firms"

The U.S. Securities and Exchange Commission’s (SEC) Divisions of Investment Management and Corporation Finance issued a Staff Legal Bulletin on June 30, 2014 that provides guidance on the responsibilities of investment...more

7/7/2014 - Investment Adviser Proxy Advisors Proxy Voting Guidelines SEC

"SEC Issues New Guidance for Investment Advisers Regarding Use of Social Media Testimonials"

On March 31, 2014, the Division of Investment Management (the “Division”) of the Securities and Exchange Commission (the “SEC”) issued long-awaited guidance regarding investment advisers’ use of public commentaries on social...more

5/21/2014 - Internet Internet Service Providers Investment Adviser SEC Social Media Testimonial Statements Third-Party Service Provider Websites

"Parallel Fund Structures Under the Volcker Rule"

Skadden was one of 15 law firms that participated in the development of a recently released consensus interpretation letter regarding the ability of non-U.S. banking entities to invest in certain parallel funds organized by...more

5/15/2014 - Banks Commodity Pool CPO Investment Company Act of 1940 Investment Funds Nonbank Firms Volcker Rule

Privacy & Cybersecurity Update - April 2014

In This Issue: - Decision in Wyndham Case Provides FTC With Significant Victory - SEC Announces Cybersecurity Initiative - Heartbleed Bug Generates Significant Security Concerns - FTC and DOJ Announce Policy...more

4/30/2014

"SEC Provides Updated Guidance on ‘Knowledgeable Employee’ Status Under the Investment Company Act of 1940"

On February 6, 2014, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued a no-action letter to the Managed Funds Association (the “MFA No-Action Letter”) providing updated...more

2/25/2014 - Compliance Investment Company Act of 1940 No-Action Letters SEC

"SEC Provides No-Action Relief to M&A Brokers in Connection With Broker-Dealer Registration Requirements"

On January 31, 2014, the Division of Trading and Markets (the “Division”) of the Securities and Exchange Commission (the “SEC”) issued a no-action letter (as revised on February 4, 2014, the “No-Action Letter”) that permits...more

2/19/2014 - Broker-Dealer Compliance No-Action Letters Registration SEC Securities Act of 1933 Securities Exchange Act

General Solicitation and Bad Actor Guidance from the SEC

The Securities and Exchange Commission (the “SEC”) has released a series of Compliance and Disclosure Interpretations (the “Interpretations”) recently addressing the general solicitation exemption under new Rule 506(c) of...more

2/17/2014 - Bad Actors Compliance Dodd-Frank General Solicitation JOBS Act Rule 506 Offerings SEC

"NFA Requests Comments on Capital Requirements and Additional Customer Protection Measures for CPOs and CTAs"

The National Futures Association (NFA) recently issued a notice requesting comments on the advisability of subjecting registered commodity pool operators (CPOs) and registered commodity trading advisors (CTAs) to minimum...more

2/4/2014 - Capital Requirements Commodity Pool CPO CTA NFA

"SEC Provides Custody Rule Relief for Privately Offered Securities"

On August 1, 2013, the Division of Investment Management of the Securities and Exchange Commission published an IM Guidance Update (the “Update”) regarding Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act...more

8/22/2013 - Audits Custody Rule GAAP Investment Advisers Act of 1940 Pooled Investment Vehicles Private Offerings SEC Securities

"SEC Staff Warns That Advisers May Be Required to Register as Broker-Dealers"

On April 5, 2013, David W. Blass, Chief Counsel of the Securities and Exchange Commission’s Division of Trading and Markets, addressed the American Bar Association’s Trading and Markets Subcommittee.1 Mr. Blass’ remarks...more

4/23/2013 - Broker-Dealer Fund Managers Investment Adviser Ranieri Partners Registration SEC

"SEC Releases Additional Frequently Asked Questions Regarding Form PF"

The Securities and Exchange Commission (the “SEC”) has released several rounds of additional Frequently Asked Questions (“FAQs”) regarding Form PF, the private fund systemic risk reporting form promulgated by the SEC and the...more

4/12/2013 - CFTC Form PF Reporting Requirements SEC

"SEC Recent Developments"

Below is a summary of certain recent guidance from the Securities and Exchange Commission (the “SEC”) that is applicable to investment advisers and broker-dealers, namely: (i) an SEC Risk Alert regarding the Custody Rule...more

4/3/2013 - Broker-Dealer Custody Rule Dodd-Frank Investment Adviser NEP SEC

"The SEC’s Private Equity Enforcement Concerns"

On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (the “AMU”) of the Enforcement Division of the Securities and Exchange Commission, addressed the Private Equity International Conference in New York. Mr....more

2/7/2013 - Asset Management CCO CFOs Conflicts of Interest COOs Enforcement Misallocation of Funds Private Equity SEC Segregated Portfolio Companies Transparency

"CFTC Staff Provides Funds-of-Funds With Temporary No-Action Relief From Commodity Pool Operator Registration"

On November 29, 2012, the Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) issued temporary no-action relief from commodity pool operator (CPO) registration to...more

12/11/2012 - CFTC Commodity Pool No-Action Relief Swap Dealers

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