John Stewart

Skadden, Arps, Slate, Meagher & Flom LLP

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The SEC Proposes Expanding Reporting Requirements for Investment Companies

On May 20, 2015, the Securities and Exchange Commission (the “SEC”) approved new proposed rules, forms and amendments that would expand the information that registered investment companies1 are required to report. The SEC’s...more

7/31/2015 - Compliance Derivatives Financial Statements Form N-Cen Form N-PORT Form N-SAR Investment Companies Investment Funds Investment Portfolios Regulation S-X Reporting Requirements SEC Shareholder Distributions Shareholders

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

"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

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