Who may be interested: Closed-End Funds; Investment Advisers - Quick Take: An investment manager and offshore fund have sued a closed-end fund for adopting a “poison pill” provision that prevents shareholders with more...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