The Preferred Return Podcast | AIFMD II – Implementation Begins
The Preferred Return Podcast | Spin-outs and New Fund Sponsors
AdvisorEsq Podcast Series - Episode 8 - Executive Insights: Succeeding as a COO at an RIA Firm
Nonprofit Basics: Unpacking Prudent Investments, PRIs and MRIs
Fintech Focus Podcast | Are Regulators Dictating Fintech Deal Terms?
A 2024 Economic Outlook - Troutman Pepper Podcast
PODCAST: Williams Mullen's Benefits Companion - New Federal Rule Aims to Hold Investment Advisors to a Higher Standard
AGG Talks: Cross-Border Business - Enterprise Ireland and U.S. Market Entry
Cornerstone Research Experts in Focus: Jules van Binsbergen
Podcast Episode 189: Adding Context to Compliance and Color To Your Legal Practice
Basics of Impact Investing: A Conversation About Investment Policies and Evaluation Metrics For ESG Investors
WorldSmart: Un Puente Entre Dos Mundos— Inversiones Entre EEUU y América Latina
Coffee & Regs - Investment Monitoring Rewind & 2022 Preview
Coffee & Regs: An ESG Fireside Chat with KPMG’s Kay Swinburne
Coffee & Regs - Digital Assets: Trading & Compliance for Cryptocurrency
Legally Qualified: Protecting Against Elder Investment Fraud and Exploitation
HIPPER THAN HIP
NOWOTNY KNOWS SQUAT! Part 3 Using Malta Pension Plans to Raise AUM and Sell More Life Insurance
SO VERY HARD TO GO (NOT)! In Pursuit of Puerto Rican Tax Incentives
The Listed Investment Companies (Classification etc) Bill has been published on the U.K. Parliament website, following its first reading in the House of Lords on the same day. The Bill seeks to make provisions about listed...more
On August 28, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments to reporting requirements on Forms N-PORT and N-CEN that apply to certain registered investment companies, including registered open-end...more
On 14 May 2024, ESMA published its final guidelines on funds’ names using ESG or sustainability-related terms (the Guidelines). As a result, the use of certain environmental, social and governance (ESG) or...more
This article provides an overview of common structures for investment funds in the Cayman Islands. Investment funds in the Cayman Islands must be registered either under the Private Funds Act or the Mutual Funds Act,...more
この記事では、ケイマン諸島における一般的な投資ファンド組成に関する概要をご紹介します。 ケイマン諸島における投資ファンドは、ファンド戦略がクローズドエンド型かオープンエンド型かに応じて、プライベートファンド法またはミューチュアルファンド法のいずれかに基づいて登録されなければならないことになっています。...more
On 15 February 2024, Skadden partners Kenneth Burdon, Robert Chaplin, Eben Colby and Greg Norman presented the webinar “Investment Trusts and Activist Funds,” which outlined recent trends in shareholder activism in publicly...more
In this issue, we cover regulatory developments from the fourth quarter of 2023 impacting the investment management sector, including the use of shareholder rights plans as an alternative to state control share statutes....more
Beim Vertrieb von Investmentfonds und der Ausgestaltung der Fondsdokumentation sind Hinweise auf Widerrufsrechte zu beachten. Dies gilt nicht nur bei Publikumsfonds, sondern auch bei Spezialfonds, falls diese an „Verbraucher“...more
On May 5, 2022, Senate Bill 284 was introduced in the Delaware General Assembly proposing amendments to the Delaware Statutory Trust Act (DSTA).1 These amendments include the addition of new Subchapter III — Control...more
On October 13, 2021, Templeton Global Income Fund (GIM) announced that its Board of Trustees (Board) approved an issuer tender offer for 70% of its issued and outstanding common shares at a price per share equal to 99% of...more
In this issue, we cover regulatory developments impacting the investment management sector, including proposed legislation supported by the Investment Company Institute to address challenges for closed-end funds; the...more
In this issue, we cover regulatory developments impacting the investment management sector, including updates on activism activity during the 2021 proxy season, as well as the status of multiple SEC and NYSE proposals,...more
The COVID-19 pandemic has resulted in seismic shifts to the real estate industry over the last year. Shifting preferences and governmental restrictions severely impacted retail, hospitality and commodity office asset classes....more
In this issue, we provide a summary retrospective of regulatory, litigation and industry developments impacting the investment management sector during the second half of 2020, including SEC guidance and exemptive orders...more
On October 7, 2020, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Final Rule or Rule 12d1-4) under the Investment Company Act of 1940 (1940 Act) in an effort to streamline and enhance the regulatory...more
On October 7, 2020, the Securities and Exchange Commission (the "SEC") adopted Rule 12d1-4 under (the "Rule") the Investment Company Act of 1940 (the "1940 Act") and related amendments designed to put in place a comprehensive...more
In the News. The Securities and Exchange Commission (SEC) proposed modifying the disclosure framework for mutual funds and exchange-traded funds (funds), which would create a new layered disclosure regime that attempts to...more
SEC Grants Additional COVID-19 Relief to Business Development Companies - On April 8, the SEC issued an order granting relief to business development companies (BDCs) by permitting BDCs to issue and sell senior securities...more
On May 27, 2020, the staff of the Division of Investment Management (Staff) of the Securities and Exchange Commission (SEC) issued a statement regarding the intersection between state control share acquisition statutes...more
The staff of the Securities and Exchange Commission’s Division of Investment Management (Staff) released a statement on May 27, 2020 (Statement), indicating that the Staff would not recommend enforcement against registered...more
On May 27, 2020, the staff of the SEC’s Division of Investment Management (the “Division”) issued a new statement (the “Staff Statement”) addressing the intersection between state control share acquisition statutes and the...more
In this issue, we summarize regulatory, litigation and industry developments from October 2019 to early January 2020 impacting the investment management sector, including SEC action on use of derivatives by registered...more
WHY CLOSED-END FUNDS, ALTERNATIVE STRATEGY FUNDS, AND BDCS? - Many advisers recommend alternative assets or alternative strategies and structures as part of an investor’s diversified investment portfolio - For...more
In this issue, we summarize regulatory, litigation and industry developments from May to September 2019 impacting the investment management sector, including SEC action on standards of conduct for broker-dealers and...more
In August 2019, the U.S. Department of the Treasury (Treasury) and the Federal Reserve Bank of New York (FRBNY) will conduct a benchmark survey of foreign residents’ holdings of U.S. issuers’ securities. The information will...more