Lorna Xin Chen

Lorna Xin Chen

Shearman & Sterling LLP

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SEC Issues Proposed Investment Company Reporting Rules

Global financial regulators continue to push to dampen risk in the system and to improve their readiness to respond to the next crisis. After an initial focus on banks and insurance companies, that regulatory attention has...more

6/1/2015

SEC Issues Proposed Investment Adviser Reporting and Disclosure Rules

In the wake of the financial crisis, the US Securities and Exchange Commission adopted detailed data reporting rules for private funds on both Form ADV (2010) and Form PF (2011). In its continuing push to gather more asset...more

5/29/2015 - Form ADV Investment Adviser Investment Advisers Act of 1940 Rule 204-2 SEC Umbrella Registration

Extraterritoriality Revisited: Access to the European Markets by Financial Institutions, Funds and Others from Outside Europe

In an effort to harmonise investor protection across the EU and ensure effective market competition, a framework has been established for financial institutions, funds and market infrastructure established outside the EU to...more

8/28/2014 - Banking Sector Capital Markets EU Extraterritoriality Rules Financial Institutions Investor Protection Market Participants

FATCA: Implications for Non-US Funds

A general guide in determining the application of FATCA to non-US funds. I. What Is FATCA? FATCA refers to the US Foreign Account Tax Compliance Act (contained in Sections 1471 through 1474 of the US Internal Revenue...more

5/28/2014 - FATCA Income Taxes International Tax Issues Offshore Funds Tax Evasion

As the Deadline Approaches…AIFMD: Marketing by Non-EEA Managers

The AIFMD is due to take effect on July 22, 2013. Yet countries across the EEA — with less than a week until the deadline — are at different stages of transposing the AIFMD into national laws. A number will miss the...more

7/18/2013 - AIFMD Deadlines EEA Managers Marketing New Regulations

SEC Lawyer Speaks To Broker-Dealer Registration Status Of Private Fund Managers

Late last week, a senior SEC lawyer encouraged the private equity and hedge fund communities to consider whether certain practices of private fund managers could subject these firms to SEC registration as broker-dealers....more

4/11/2013 - Broker-Dealer Fund Managers Private Funds Registration SEC

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