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K&L Gates LLP

The SEC Publishes 2024 Examination Priorities Ahead of Schedule, Previewing Key Areas of Focus for Registered Entities

K&L Gates LLP on

On 16 October 2023, the Division of Examinations (Division) of the US Securities and Exchange Commission (SEC) released its examination priorities for the 2024 fiscal year (the Report). The Division released this Report...more

K&L Gates LLP

Fund of Funds Rule Adoption—A Deeper Dive Into the Impact of Rule 12d1-4 on Closed-End Funds and Business Development Companies

K&L Gates LLP on

I. INTRODUCTION - On October 7, 2020, the Securities and Exchange Commission (SEC) adopted new rule 12d1-4 (Rule 12d1-4) and related amendments under the Investment Company Act of 1940 (as amended, the 1940 Act) in an effort...more

Kramer Levin Naftalis & Frankel LLP

Trump Administration Issues Guidance on Asset Management and Insurance Regulation

Kramer Levin Naftalis & Frankel LLP on

On Oct. 26, 2017, the U.S. Treasury Department (Treasury) released the latest installment in a series of reports on financial regulation required by the president’s Feb. 3 executive order on the financial system....more

Blake, Cassels & Graydon LLP

Legal Trends: Capital Markets

Blake, Cassels & Graydon LLP on

We expect economic conditions, including those discussed in our M&A Trends piece?, to continue to create opportunities in the M&A market. As well-positioned issuers pursue these opportunities, some acquirers will access the...more

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