Jonathan R. Massey

Dechert LLP

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CFTC Issues Exemptive Relief Related to JOBS Act Amendments to Regulation D

The Division of Swap Dealer and Intermediary Oversight (Division) of the U.S. Commodity Futures Trading Commission (CFTC) on September 9, 2014 issued a letter granting exemptive relief from provisions in CFTC Regulations...more

10/1/2014 - CFTC CPO Exemptions General Solicitation JOBS Act Private Offerings Regulation D Reporting Requirements Rule 144A Rule 506(c)

CFTC Adopts New CPO Rules for Registered Investment Companies and Others

Introduction - The U.S. Commodity Futures Trading Commission (“CFTC”) recently released its long-awaited “Final Rule” to harmonize CFTC disclosure, reporting, and recordkeeping requirements with parallel U.S....more

10/7/2013 - CFTC Commodity Pool CPO International Harmonization Investment Company Act of 1940 Investment Corporations

Financial Services Quarterly Report - Second Quarter 2013

In This Issue: - UK: New Regulators; New Powers - So You Want to be a U.S. Mutual Fund Manager - The New German Rules on High Frequency Trading - Marketing and Distributing Your Fund in the Middle East:...more

7/9/2013 - AIFMD ESA Listings EU Financial Products FPC High Frequency Trading Mutual Funds PRA UK

Financial Services Quarterly Report - Second Quarter 2013: So You Want to be a U.S. Mutual Fund Manager

So you are an investment adviser registered with the Securities and Exchange Commission (“SEC”) under the Investment Advisers Act of 1940, as amended (“Advisers Act”). You currently manage separate accounts and, perhaps, one...more

7/2/2013 - Asset Diversification Chief Compliance Officers Compliance Fund Managers Investment Advisers Act of 1940 Investment Company Act of 1940 Issuers Mutual Funds Right of Redemption SEC

Head of Asset Management Unit at SEC Enforcement Shares Hedge Fund Enforcement Priorities

In a recent speech, Bruce Karpati, Chief of the Asset Management Unit (AMU)within the Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC), discussed his view of the current enforcement...more

12/27/2012 - Asset Management Enforcement Fiduciary Duty Hedge Funds Marketing Pensions Retail Market SEC

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