Jay G. Baris

Jay G. Baris

Morrison & Foerster LLP

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Latest Posts › Investment Funds


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

OCIE Targets Never-Before-Examined Investment Companies for Compliance Exams

The SEC’s Office of Compliance Inspections and Examinations in a Risk Alert dated April 20, 2015, announced a program targeting investment companies that have never been examined for focused, risk-based compliance...more

4/23/2015 - Industry Examinations Investment Funds OCIE Risk Alert SEC

No-Action Relief Granted for Three-Tier Fund Structure

The SEC’s Division of Investment Management on April 3, 2015, said that it will not recommend enforcement proceedings against an investment adviser that structures a three-tier fund allowing certain funds to invest in a...more

4/20/2015 - Fund of Funds Investment Adviser Investment Funds No-Action Relief SEC

SEC Requires Floating NAV for Institutional Money Market Funds; IRS Eases Tax Reporting Burden for Fund Investors

Yesterday, a divided Securities and Exchange Commission adopted rules that will require floating net asset values (NAVs) for institutional money market funds and give most money market funds the discretion to impose liquidity...more

7/24/2014 - Compliance Income Taxes Investment Funds Investors Liquidity Fees Money Market Funds NAV SEC

SEC Staff Warns Against “Disclosure Creep”

The staff of the SEC’s Division of Investment Management warned against “disclosure creep” invading fund prospectuses in regulatory guidance posted in June 2014....more

6/30/2014 - Disclosure Disclosure Requirements Investment Funds OCIE Prospectus SEC

Investment Management Legal + Regulatory Update -- December 2013

In This Issue: Regulatory Updates - SEC Continues to Look at a Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers; SEC Grants Unusual Exemptive Relief from Pay-to-Play “Time-Out” Provision;...more

12/11/2013 - Broker-Dealer Compliance Conflicts of Interest Directors Fiduciary Duty FINRA Investment Funds SEC

CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that Are Commodity Pools

In a dramatic change of course, the Commodity Futures Trading Commission (CFTC) adopted final rules that apply a “substituted compliance” approach for disclosure and compliance obligations of registered investment companies...more

8/15/2013 - CFTC Commodity Pool Compliance Disclosure Requirements Investment Funds Reporting Requirements SEC

Investment Management Legal + Regulatory Update -- July 2013

In This Issue: Regulatory Updates - SEC Proposes Money Market Reform; SEC Eases Ban on General Solicitation and General Advertising in Certain Private Placements; SEC and CFTC Adopt Joint Rules to Address...more

7/19/2013 - Broker-Dealer CFTC Disclosure Requirements FSOC General Solicitation Identity Theft Insider Trading Investment Funds JOBS Act Marketing Money Laundering Money Market Funds New Legislation New Regulations Nonbank Firms NYSE Private Placements SEC Social Media Tax Reform Whistleblowers

UK Implementation of AIFMD: UK Private Placement Regime and non-EU Fund Managers

By July 22, 2013, EU member states must adopt the provisions of the Alternative Investment Fund Managers Directive (the “AIFMD”). On May 13, 2013, the UK’s HM Treasury further clarified how AIFMD will affect alternative...more

7/5/2013 - AIFM AIFMD Economic Development EU Fund Managers Investment Funds Private Placements

The European Alternative Investment Fund Managers Directive—a non-EU Fund Manager’s Perspective

Introduction - The European Member States must implement the Directive on Alternative Investment Fund Managers (the “AIFMD”), which came into force on July 21, 2011, into their national laws by July 22, 2013. Once the...more

5/20/2013 - AIFM AIFMD Disclosure Requirements EU Investment Funds Reporting Requirements

Investment Management Legal + Regulatory Update -- February 2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

2/14/2013 - ALJ Brokers CoC Enforcement Fines FINRA Hedge Funds Investment Adviser Investment Funds SEC Stock Repurchases Valuation

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