Michael K. Hoffman

Michael K. Hoffman

Skadden, Arps, Slate, Meagher & Flom LLP

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"Potential Regulatory and Litigation Risks Relating to Recent Fixed-Income Market Concerns"

Recent events relating to the fixed-income markets — including volatility in the high-yield markets and the high-profile closings of a number of funds invested in high-yield and distressed assets — have raised concerns among...more

2/26/2016 - Distressed Assets ETFs Fixed Income Investments High-Yield Markets Portfolio Managers Risk Assessment SEC Securities Fraud

"SEC Proposes Rule Regarding the Use of Derivatives by Registered Investment Companies and Business Development Companies"

On December 11, 2015, the Securities and Exchange Commission (SEC) voted to propose a new rule (the Proposed Rule) that significantly modifies the regulation of the use of derivatives by registered investment companies,...more

12/21/2015 - Business Development Companies Derivatives Hedge Funds Investment Companies Registered Investment Advisors Risk Management SEC

SEC Proposes Liquidity Management Rules for Open-End and Exchange-Traded Funds

On September 22, 2015, the Securities and Exchange Commission (SEC) voted to propose a new Rule 22e-4 under the Investment Company Act of 1940 (the 1940 Act), as well as amendments to its rules and forms designed to promote...more

10/12/2015 - ETFs Exchange-Traded Products Investment Company Act of 1940 Liquidity Risk Management Rule Mutual Funds Reporting Requirements Rule 22e-4 SEC Swing Pricing

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

"Risk Retention Rules Impact Registered Fund Tender Option Bond Financings"

In October 2014, several regulatory agencies approved final rules to implement the risk retention requirement mandated by Section 941 of the Dodd-Frank Act. (See "Regulators Adopt Final Risk Retention Rules for Asset-Backed...more

2/5/2015 - Asset-Backed Securities Bond Financing Dodd-Frank Final Rules Risk Retention Tender Offers

"NFA Requests Comments on Capital Requirements and Additional Customer Protection Measures for CPOs and CTAs"

The National Futures Association (NFA) recently issued a notice requesting comments on the advisability of subjecting registered commodity pool operators (CPOs) and registered commodity trading advisors (CTAs) to minimum...more

2/4/2014 - Capital Requirements Commodity Pool CPO CTA NFA

"CFTC Staff Provides Mortgage REITs With No-Action Relief From Commodity Pool Operator Registration"

On December 7, 2012, the Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) issued no-action relief from commodity pool operator (CPO) registration to mortgage REITs that...more

12/13/2012 - CFTC Commodity Pool Mortgage REITS No-Action Letters No-Action Relief Swap Dealers

"CFTC Staff Provides Funds-of-Funds With Temporary No-Action Relief From Commodity Pool Operator Registration"

On November 29, 2012, the Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) issued temporary no-action relief from commodity pool operator (CPO) registration to...more

12/11/2012 - CFTC Commodity Pool No-Action Relief Swap Dealers

"Gatz Highlights Standards for Affiliated-Party Transactions"

In Gatz Properties, LLC v. Auriga Capital Corp., the Delaware Supreme Court required a manager and controlling member of a Delaware limited liability company to satisfy the entire fairness standard of conduct and judicial...more

11/19/2012

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