News & Analysis as of

Investment Schemes

Reminder: Fee and Cost Disclosure - RG 97 Extension

by K&L Gates LLP on

ASIC's amended fee and cost disclosure requirements for managed investment schemes and superannuation funds are due to commence tomorrow. However, ASIC has granted an extension until 1 September 2017....more

Financial Regulatory Developments Focus - November 2015 #3

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Global Insight - Issue 15, Q3 2015

by DLA Piper on

Restructurings are all about alternatives. It is one thing for a creditor to hold an instrument that entitles it to payment of $X on Y date. But if the debtor does not have the cash to satisfy the obligation when due, some...more

Financial Services Quarterly Report - Second Quarter 2015: French AFG Publishes Guidelines on Use of Stress Tests by Management...

by Dechert LLP on

The Association Française de la Gestion financière (AFG) – the association representing French management companies – published on 7 May 2015 guidelines regarding the use of stress tests by management companies (Guidelines)....more

Investment Funds Update - Asia: Legal and regulatory updates for the funds industry from the key jurisdictions in Asia: Hong Kong

by Dechert LLP on

Hong Kong – China Mutual Recognition Scheme (the “Scheme”) - An opportunity to market HK-domiciled and authorized funds to Mainland retail investors is starting to take shape. There is keen expectation that this Scheme...more

Funds Passporting in Asia has Arrived!

by Dechert LLP on

Background to the Regional Passporting Proposals - The “ASEAN Framework for Cross-Border Offering of CIS (Collective Investment Scheme)” (ASEAN CIS Framework, or Framework) finally went “live” on 25 August 2014, amid...more

NHL Players Defrauded in Series of Investment Schemes

by Dorsey & Whitney LLP on

National Hockey League Players were the primary victims of a series of fraudulent investment schemes orchestrated by financial adviser Phillip Kenner and former professional race car driver Tommy Hormovitis. Collectively, the...more

DOJ Lawsuit Against S&P and McGraw Hill

Last week, the Department of Justice (DOJ) filed a civil suit in the Central District of California against Standard & Poor’s Financial Services (S&P) and its parent company McGraw-Hill. The suit alleges that S&P engaged in a...more

Crowdfunding Alert: OSC Extends Comment Period For New Prospectus Exemptions

by Dentons on

The Ontario Securities Commission (“OSC”) is actively taking steps to make capital raising easier for start-ups. In late 2012, the OSC published Staff Consultation Paper 45-710, seeking feedback on proposed new prospectus...more

Fourth Circuit Affirms Finding of No Fifth Amendment Violation in Connection with 45-Year Conviction for $100 Million Investment...

The US Court of Appeals for the Fourth Circuit recently affirmed a defendant’s conviction and 45-year sentence, holding that the defendant’s Fifth Amendment rights had not been violated where the government simply had limited...more

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