Dechert LLP

Alternative Facts? A World Without Dodd-Frank and Basel III

What if Dodd-Frank and Basel III were to largely go away? Eliminating Dodd-Frank has been a hobbyhorse of Representative Hensarling, the chair of the House Services Committee, for several years and has figured prominently in…more
| Elections & Politics, Finance & Banking, International Law & Trade

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
| Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

UPDATE: Continued Regulatory Focus on US Political Contributions

Recent actions by financial industry regulators, including the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority, Inc. (“FINRA”), and the Municipal Securities Rulemaking Board (“MSRB”),…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Currency Hedging Survives ESMA UCITS Share Class Cull

For the past two years, the European Securities and Markets Authority (“ESMA”), Europe’s main securities regulator, has had UCITS share classes in their sights. It has issued two discussion papers on the topic and has now…more
| Finance & Banking, International Law & Trade, Securities Law

Non-Reportable ≠ Non-Reviewable: Antitrust Insights for Smaller US Mergers

Acquisitions of U.S. companies that fall below the $80.8 million Hart-Scott-Rodino (HSR) reporting threshold may pose unique risks to buyers. Unlike HSR reportable transactions, non-reportable transactions typically do not allow…more
| Antitrust & Trade Regulation, Civil Remedies, Commercial Law & Contracts, Mergers & Acquisitions

US SEC Publishes Risk Alert on Top Five Investment Adviser Compliance Issues Found During Inspections

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) issued a National Exam Program Risk Alert on February 7, 2017 (Risk Alert), highlighting the “five compliance…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Staff Issues Guidance Regarding Open-End Fund Investments in Closed-End Funds

The staff of the U.S. Securities and Exchange Commission’s (SEC) Division of Investment Management (Staff) recently issued guidance regarding open-end fund investments in closed-end funds...…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Substantive Consolidation: It’s Alive and Well (or Maybe Just Alive)

The doctrine of substantive consolidation (generally- the power of a bankruptcy court to consolidate the assets and liabilities of affiliated entities in bankruptcy) is a recognized remedy exercised by bankruptcy courts – one…more
| Bankruptcy, Business Organizations, Finance & Banking

Singapore to permit third party funding of international arbitrations

Singapore is poised to become the first jurisdiction in Asia to introduce legislation permitting the use of third party funding in support of international arbitrations and related proceedings.? This follows the passing of the…more
| Alternative Dispute Resolution (ADR), Commercial Law & Contracts, International Law & Trade, Law Practice Products & Services

SEC Staff Clarifies Application of 1940 Act Section 22(d) to Brokers Selling Clean Shares of Mutual Funds

In response to a request for interpretative guidance, the U.S. Securities and Exchange Commission staff (staff) advised on January 11, 2017 that Section 22(d) of the Investment Company Act of 1940 does not prevent a broker…more
| Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

SIAC Introduces New Arbitration Rules Tailored for Investment Disputes

The first edition of the SIAC Investment Arbitration Rules (the SIAC IA Rules) was released on 30 December 2016 and came into force on 1 January 2017. In releasing the SIAC IA Rules, SIAC has become the first commercial…more
| Alternative Dispute Resolution (ADR), Commercial Law & Contracts, Finance & Banking, International Law & Trade

DOL Casts Vote Against Previous Proxy Rules Under ERISA

The U.S. Department of Labor (the “DOL”), on December 29, 2016, issued Interpretive Bulletin 2016-1 (“IB 2016-1”) under the Employee Retirement Income Security Act of 1974 ("ERISA") regarding the duties of fiduciaries under…more
| Finance & Banking, Labor & Employment Law, Securities Law

SEC 2017 Examination Priorities Focus on Retail Investors, Seniors and Retiring Investors, and Market-Wide Risk Assessment

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 12, 2017 announced its examination priorities for the current year. The priorities extend to nearly…more
| Commercial Law & Contracts, Consumer Protection, Finance & Banking, Securities Law

Financial Stability Board Issues Activities-Based Recommendations for the Global Asset Management Industry

The FSB continues to plan to revisit whether there are residual entity-specific sources of systemic risk that cannot be addressed effectively by market-wide activities-based policies that would support global systemically…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

SEC Office of Compliance Inspections and Examinations Issues Risk Alert on Multi-Branch Adviser Initiative

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) may use a variety of business and organizational models, which may include structures with one or more branch offices. In announcing its…more
| Business Organizations, Commercial Law & Contracts, Consumer Protection, Finance & Banking, Securities Law
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Contact

Circa Centre, 2929 Arch Street
Philadelphia, PA 19104, United States

Contact: Beth Huffman

  • 215 994 4000
  • 215 994 2222

Areas of Practice
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
  • Appellate Practice
  • Bankruptcy
  • Business Organizations
  • Commercial Law & Contracts
  • Energy & Utilities
  • Environmental Law
  • Finance & Banking
  • Health
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  • International Law & Trade
  • Labor & Employment Law
  • Litigation
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Locations
Other U.S. Locations
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  • United Kingdom
Number of Attorneys

800+ Attorneys

This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

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