Derek Wu

Derek Wu

Dechert LLP

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SEC’s Proposed Modernized Reporting Regime: Effects on ETF Sponsors

The U.S. Securities and Exchange Commission (SEC) on May 20, 2015 unanimously approved proposed rules, forms and amendments that are intended to modernize and enhance the reporting and disclosure of information by investment...more

7/22/2015 - Asset Management EFTs Filing Requirements Financial Markets Form N-Cen Form N-PORT Form N-SAR Investment Companies Investment Company Act of 1940 Regulation S-X SEC Shareholders Small Business Investment Company

US SEC Seeks Public Comment on the Listing, Trading and Selling of Exchange-Traded Products

The Securities and Exchange Commission (SEC) issued a release (Release) on June 12, 2015 seeking public comment on topics related to the listing and trading of exchange-traded products (ETPs) on national securities exchanges...more

6/16/2015 - Arbitrage Broker-Dealer Exchange-Traded Products Investors Listing Standards Market Pricing No-Action Relief Public Comment Public Listing Rule 19b-4 SEC Securities Securities Exchange Act

SEC Intends to Grant Exemptive Relief to Permit Exchange-Traded Managed Funds

On November 6, 2014, the Securities and Exchange Commission (“SEC”) issued notice of its intent to grant Eaton Vance Management (“Eaton Vance”) and related parties exemptive relief from various provisions of the Investment...more

11/10/2014 - ETMFs Exchange-Traded Products Exemptive Relief Investment Company Act of 1940 SEC

BNA's Banking Report: Enforcement 2013: Enforcement Actions Continue Three-Year Decline; DOJ Emerges as Major Player

Overall Trends & Outlook - From an enforcement standpoint, 2013 was another historic year in a number of important ways beyond the sheer number of cases, which were again significant. Federal banking agencies1 issued...more

5/29/2014 - Anti-Money Laundering Bank Secrecy Act Banks CFPB DOJ ECOA Enforcement Enforcement Actions FIRREA Risk Management

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