Jay G. Baris

Jay G. Baris

Morrison & Foerster LLP

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Derivatives Rule Proposal: More Work for Overburdened Fund Directors

The Securities and Exchange Commission’s proposals to modernize its regulation of fund use of derivatives and leverage again increase the scope and complexity of the responsibilities of investment company fund directors. If...more

12/16/2015 - Board of Directors Derivatives Investment Companies Mutual Funds Risk Management SEC

SEC Proposes Limits on Fund Use of Derivatives and Leverage

The Securities and Exchange Commission (the “Commission”) today voted, by a three-to-one margin, to propose rules that would limit the amount of leverage that mutual funds may obtain through derivatives. The proposals also...more

12/15/2015 - Business Development Companies Derivatives Investment Company Act of 1940 Mutual Funds SEC

SEC to Consider Fund Derivatives Rules

The SEC announced that on December 11, 2015 that it will consider whether to propose a new rule and amendments to certain proposed forms related to the use of derivatives by registered investment companies and business...more

12/7/2015 - Business Development Companies Derivatives Investment Companies Leverage Ratio SEC

SEC Agenda for 2016: Tighten Rules on Leverage for Funds; Stress Testing and Third-Party Compliance Reviews for Advisers

In testimony before the House Committee on Financial Services on November 18, 2015, SEC Chair Mary Jo White described what the SEC has in store for the investment management industry....more

11/19/2015 - Compliance Derivatives Investment Management Mary Jo White Registered Investment Advisors SEC

SEC Report: Private Fund Assets Grew by 25 Percent over Past Two Years; Private Fund Leverage Revealed

The SEC’s “Private Funds Statistics” report, published October 16, 2016, reveals that the number of private funds and private fund assets has grown significantly over the past two years. The data show that private funds, as a...more

10/21/2015 - Beneficial Owner Derivatives Division of Investment Management Form ADV Form PF Hedge Funds High Frequency Trading Liquidity Private Equity Funds Private Funds Real Estate Investments Registered Investment Advisors SEC Securitization Market Statistical Analysis

SEC Expected to Propose Liquidity Risk Management Programs for Funds

The Securities and Exchange Commission announced that it will consider proposals for liquidity risk management programs and related disclosures for open-end management investment companies. The Commission will consider the...more

9/17/2015 - Amended Regulation Banking Sector Derivatives Disclosure Requirements ETFs Financial Institutions Forms FSOC Investment Companies Liquidity Risk Management Rule Mutual Funds New Regulations Public Meetings Risk Management SEC Stress Tests Sunshine Act

SEC Proposes Heightened Data and Reporting Rules for Funds and Advisers, Ponders New Rules on Derivatives and Leverage

At an open meeting of the Securities and Exchange Commission today, Chair Mary Jo White announced to enhance SEC reporting by investment companies and investment advisers. Data collection. The SEC proposed rules that...more

6/3/2015 - Data Collection Derivatives ETFs Investment Adviser Investment Funds Reporting Requirements SEC

Dodd-Frank Implementation: Navigating the Road Ahead

Table of Contents: Introduction; Financial Stability Reform; Resolution Planning; Agencies and Agency Oversight Reform; Securitization Reform; Derivatives Regulation; Investor Protection Reform; Credit Rating Agency...more

12/29/2012 - Capital Requirements CFPB Corporate Governance Credit Ratings Derivatives Disclosure Requirements Dodd-Frank Financial Stability Acts Foreign Banks Mortgage Loan Originators Mortgages Securitization Servicing Policies Volcker Rule

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