News & Analysis as of

Institutional Investment

REITS May Soon be Coming to Poland: Law Firm of Miller Canfield

by Miller Canfield on

Poland’s Ministry of Finance published a draft bill which would authorize the establishment and operation of Polish Real Estate Investment Trusts (Spólki Rynku Wynajmu Nieruchomosci) in Poland. At this stage, the proposal has...more

US Hedge Fund Managers: Accessing Capital and Marketing in Europe

by Dechert LLP on

Recent regulatory change has made the marketing of hedge funds in the European Economic Area (the “EEA”) more involved, particularly for managers based outside the EEA. This appears to have led some US investment advisors to...more

The Financial Report - Volume 5, No. 1 January 2016 (Global)

by DLA Piper on

Discussion and Analysis Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, announced in FINRA’s 11th annual Regulatory and Examination Priorities Letter, published earlier this week, that...more

Assembly Bill 792: Removing the Term “Avoid Speculation” from California’s Statute for Investments of Nonprofit Public Benefit...

by Davis Wright Tremaine LLP on

Assembly Bill 792 (AB 792) addressing investment standards for nonprofit public benefit and religious corporations was recently signed by Governor Brown in California and becomes effective January 1, 2016. AB 792 will resolve...more

FINRA Approves Use of Related Performance in Mutual Fund Marketing Materials to Institutional Investors

by Ropes & Gray LLP on

On May 12, 2015, the FINRA staff published an interpretive letter (the “Letter”) permitting FINRA members to include Related Performance Information in mutual fund marketing materials directed at institutional investors...more

Blog: Survey: Institutional Investors Want Return Of 25-Page Proxy Statements

by Cooley LLP on

Let’s reconsider: is it really necessary – or even useful – to have a proxy statement for an ordinary annual meeting that exceeds 100 pages in length? Does responsibility for bloated proxy statements lie with legislators and...more

Uncharted Territory

by Morrison & Foerster LLP on

Entrepreneurs Break New Ground at a Startup Incubator in the U.S. Capital - Tech entrepreneurs talk so much about “making the world a better place” that the phrase has been satirized on the HBO series Silicon Valley....more

Money Market Fund Reform Complicates Insurance Product Fund Offerings

by Carlton Fields on

In July 2014, the SEC adopted amendments to Rule 2a-7 under the Investment Company Act of 1940 that impose new requirements on money market funds (MMFs). The amendments may have unexpected consequences and impose unique costs...more

Blog: CII And Pension Funds Make Their Voices Loud And Clear Over Fee-Shifting Bylaws

by Cooley LLP on

As noted in this Reuters post, the Council of Institutional Investors, along with a number of individual pension funds and other institutional investors, have chimed in on the debate currently roiling the Delaware bar over...more

Second Circuit Affirms District Court’s Denial of Certification of Class of Investors Alleging Common Law Fraud Under New York Law

by Carlton Fields on

The Second Circuit affirmed the district court’s denial of class certification of a class of investors based on the appellants’ failure to satisfy the numerosity and commonality requirements of Rule 23(a). Following the...more

Alberta Increases Access to Private Placements for Institutional Investors

By blanket order granted November 20, 2014, the Alberta Securities Commission (ASC) removed barriers to participation by institutional investors in private placements by foreign issuers by addressing three requirements that...more

ISS Launches QuickScore 3.0 and Announces Important Upcoming Data Verification Period for the 2015 Proxy Season

On October 29, 2014, Institutional Shareholder Services (ISS) released QuickScore 3.0, the latest version of its corporate governance scoring system for institutional investors. QuickScore 3.0 will launch on November 24,...more

Top 10 IPO Tips from “On Your Mark, Get Set, IPO!”

On October 1st, Mintz Levin, New England Clean Energy Council (NECEC), and Grant Thornton hosted “On Your Mark, Get Set, IPO,” a panel discussion concerning recent trends in the public offering market for cleantech growth...more

Market shake-up is driving financial institutions M&A - As the global economy shows promising signs of recovery, M&A deals in the...

by White & Case LLP on

Bright outlook despite the dark clouds - Tighter controls and sell-offs by banks form the backdrop to an exciting financial services M&A market as the global economy continues to recover: The regulatory tidal...more

G20 Publishes Report on Effective Approaches to Support Implementation of G20/OECD High-Level Principles on Long-Term Investment...

On September 21, the G20 published a report on effective approaches to support implementation of the G20/Organisation for Economic Co-operation and Development (OECD) high-level principles on long-term investment financing by...more

Corporate and Financial Weekly Digest - Volume IX, Issue 37

In this issue: - Council of Institutional Investors Issues Report on Board Evaluation Disclosure - FINRA Revises Proposal to Adopt Consolidated FINRA Rule 2231 - IRS Considers Whether Management Fees of...more

Foreign Brokers Doing Business in the United States

by McCarter & English, LLP on

Foreign brokers that engage in securities transactions with U.S. investors based in the United States must be registered with the Securities and Exchange Commission (SEC). There are two major exceptions to this rule. The...more

Sustainability Reporting–Something to Consider

It’s common knowledge that investors, analysts and other stakeholders view certain non-financial information as increasingly important indicators of a company’s long-term value. This information tends to be grouped into three...more

Qatar Amends Regulations and Issues Rules as MSCI Upgrade Comes Into Effect

by Latham & Watkins LLP on

Qatar, along with the UAE, has been upgraded from “frontier” to “emerging” market status by MSCI (an upgrade that is now in effect), which is among the criteria used by a large number of institutional investors and private...more

Will the IPO Market Keep Its Momentum?

by Foley & Lardner LLP on

We’ve had a very active IPO market during the past year. A couple of reasons explain this phenomenon. First, institutional investors pulled back from the more risky initial public offerings after the crash of 2008. As the...more

Second Circuit Holds Mandatory Broker Dealer Arbitration Not Available to Non-Customer

On May 15, the US Court of Appeals for the Second Circuit issued a summary order in a closely watched case regarding the circumstances in which a broker dealer may be compelled to arbitrate with an institutional counter-party...more

Are Distressed Loan Fund Investors “Financial Institutions” And Why Does It Matter?

Once again, those of us in the commercial finance world are reminded of the age-old adage caveat emptor. This time the warning is directed at hedge funds and other investors with a penchant for purchasing distressed debt from...more

The International Comparative Legal Guide to Lending & Secured Finance 2014: Chapter 7: Yankee Loans – Structural Considerations...

by White & Case LLP on

The depth and liquidity of the investor base in the US institutional term loan market provides an attractive alternative for European borrowers in the leveraged finance market and has been a key source of financing liquidity,...more

The (Not-So) Hidden Risks of RIDEA Investment Structures

by Foley & Lardner LLP on

Many Real Estate Investment Trusts (REITs) have embraced the REIT Investment Diversification and Empowerment Act (RIDEA) structure for their senior housing asset investments. Non-REIT institutional investors sometimes employ...more

Introduction To The SDX Protocol

The Shareholder-Director Exchange (SDX™) is a working group of leading independent directors and representatives from some of the largest and most influential long-term institutional investors. SDX participants came together...more

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