Julien Bourgeois

Julien Bourgeois

Dechert LLP

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Latest Publications


SEC Proposes Sweeping Changes to Liquidity Risk Management Practices Used by Mutual Funds and ETFs

The U.S. Securities and Exchange Commission (SEC or Commission) on September 22, 2015 proposed a rule that would require all registered open-end funds and open-end exchange-traded funds (ETFs), other than money market funds...more

10/9/2015 - Disclosure Requirements ETFs Liquidity Risk Management Rule Mutual Funds Reporting Requirements SEC Swing Pricing

Macroeconomic Surveys from the BEA: A Primer for Asset Managers and the Financial Services Industry

For many U.S. asset managers and other financial services providers, the recent BE-10 Benchmark Survey of U.S. Direct Investment Abroad (BE-10) and the upcoming BE-180 Benchmark Survey of Financial Services Transactions...more

10/7/2015 - Asset Management BEA Benchmarks Cross-Border Transactions Financial Services Industry Foreign Direct Investment Foreign Investment Form BE-10 Reporting Requirements Surveys U.S. Commerce Department

SEC Proposes New Liquidity Management Rules for Mutual Funds and ETFs

Recently, the U.S. Securities and Exchange Commission unanimously approved proposals that would require open-end funds, including mutual funds and exchange-traded funds, to comply with new liquidity management rules. The...more

9/25/2015 - Comment Period Disclosure Requirements ETFs Exchange-Traded Products Liquidity Mutual Funds Reporting Requirements Risk Management SEC Swing Pricing

U.S. Proposes to Subject Non-U.S. SEC Registered Investment Advisers to Anti-Money Laundering Rules

The United States is proposing rules that, for the first time, would subject investment advisers registered or required to be registered (RIAs) with the U.S. Securities and Exchange Commission (SEC) under the Investment...more

9/24/2015 - Anti-Money Laundering Bank Secrecy Act FinCEN Non-US Entities Registered Investment Advisors SEC Suspicious Activity Reports

BEA’s BE-180 Benchmark Survey of Financial Services Providers: Implications for U.S. Asset Managers

In the fall of 2015, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) will administer its next Benchmark Survey of Financial Services Transactions between U.S. Financial Services Providers and Foreign...more

9/16/2015 - Aggregation Rules Asset Management Banks BE-180 BEA Benchmarks Broker-Dealer Cross-Border Transactions Filing Deadlines Financial Services Industry Foreign Financial Assets Investment Adviser Investment Funds Surveys U.S. Commerce Department

Commerce Department Extends Deadline for BE-10 Reports and Important Clarifications for Asset Managers and Insurance Companies

On Thursday, May 28, the Bureau of Economic Analysis (BEA) issued an automatic one month extension to all first time filers of the BE-10 Benchmark Survey of U.S. Direct Investment Abroad. The extension grant, coming one day...more

6/2/2015 - Asset Management BEA Bureau of Economic Analysis Foreign Investment Form BE-10 GAAP Insurance Companies U.S. Commerce Department

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

3/27/2015 - Brokers CFTC Compliance Equity Securities ERISA Filing Deadlines Filing Requirements Form 13F Form ADV Investment Adviser Investment Funds NFA Private Funds Reporting Requirements Schedule 13D Securities Dealers

U.S. Treasury’s Benchmark TIC SHL Survey and Implications for Investment Managers

In August 2014, the U.S. Department of the Treasury (Treasury) and the Federal Reserve Bank of New York (FRBNY) will conduct a benchmark survey of foreign holdings of U.S. issuers’ securities on Treasury International Capital...more

7/1/2014 - Federal Reserve Foreign Investment Investment Funds Investment Management Reporting Requirements Securities U.S. Treasury

TIC B Forms Are Amended to Explicitly Cover U.S. Investment Managers

In January 2014, U.S. investment managers may experience increased reporting obligations as a result of recent changes to the Treasury International Capital ("TIC”) reporting system effective for certain reports regarding...more

12/16/2013 - Compliance Fund Managers Investors Reporting Requirements

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