Paul Schreiber

Paul Schreiber

Shearman & Sterling LLP

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SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors

Introduction - On November 27, 2013, the Securities and Exchange Commission (“SEC”) approved a change (the “Amendment”) to FINRA’s IPO allocation rule 5131 (the “Rule”).The Amendment allows a fund-of-funds to rely on a...more

12/9/2013 - FINRA Investment Funds Investors IPO SEC

CFTC Adopts Harmonization Rules for CPOs of Registered Investment Companies

The US Commodity Futures Trading Commission (“CFTC”) has adopted widely anticipated rules regarding the application of its commodity pool operator (“CPO”) regulatory regime to CPOs of registered investment companies...more

8/23/2013 - CFTC CPO International Harmonization Investment Funds Registration

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

Governance & Securities Law Focus: Asia Edition, July 2013

In this issue: ASIAN DEVELOPMENTS - - HKEx Launches Consultation on Reform of Connected Transaction Rules US DEVELOPMENTS - - SEC Developments - Noteworthy US Securities Law...more

7/16/2013 - China DOJ EMIR Employee Benefits Employer Mandates Enforcement Actions ESMA EU European Commission Financial Conduct Authority Risk Management SEC Securities Litigation

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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