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Procopio, Cory, Hargreaves & Savitch LLP

What to Expect from the SEC’s Examination Focus in 2024

Investment advisers, broker-dealers, fund managers and other financial professionals could be impacted in 2024 by the U.S. Securities and Exchange Commission’s (SEC) continued focus on upcoming examinations. The SEC unveiled...more

Walkers

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds July - September 2023

Walkers on

Welcome to the July – September 2023 issue of our Irish Quarterly Legal and Regulatory Developments report for asset management and investment funds. This report covers key dates and developments during the quarter, such...more

Seward & Kissel LLP

SEC Settles Charges with Adviser for Failure to Disclose Conflicts of Interest Related to SPACs

Seward & Kissel LLP on

Who may be interested: Registered Investment Advisers. Quick Take: The SEC settled charges against a registered investment adviser alleging that the adviser failed to timely disclose to its private fund clients its...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes Expansion of Custody Rule Safeguards for Investment Advisers | Insights

On February 15, 2023, the Securities and Exchange Commission (SEC) proposed new rules and amendments (Proposal) to Rule 206(4)-2 (Custody Rule) under the Investment Advisers Act of 1940 (Advisers Act)....more

Dechert LLP

Safeguarding Client Assets: SEC Proposes Overhaul of Adviser Custody Rule

Dechert LLP on

The U.S. Securities and Exchange Commission, by a vote of four-to-one, proposed a major overhaul of the investment adviser custody rule on February 15, 2023. The proposal would amend and redesignate Rule 206(4)-2 under the...more

Proskauer Rose LLP

Regulation of Custodial Practices Under the Investment Advisers Act of 1940 Rule 206(4)-2

Proskauer Rose LLP on

Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment advisers that have custody of their client’s assets (or that want...more

Rivkin Radler LLP

Me, Myself, and I: Tax Liabilities and Dealing with One’s Own Business

Rivkin Radler LLP on

“It’s My Business”- The owner of a closely held business will often find it difficult to distinguish the business from their own person. That is certainly true for a sole proprietorship. In many cases, unfortunately, the...more

Patterson Belknap Webb & Tyler LLP

The Best Laid Plans: How a Proposed Sale of NYC Real Estate Under Section 363 of the Bankruptcy Code Went Awry

There are several ways in which property owners can advantageously use the Bankruptcy Code to effectuate strategic dispositions of assets. But the bankruptcy process can be fraught with uncertainty that can upend the best...more

Hogan Lovells

Client Money Protection Schemes For Property Agents: What’s The latest?

Hogan Lovells on

Are you a landlord or a tenant? Think you’ve heard something about new laws to protect your money when held by an agent? If you want to know more, read on…...more

Smith Debnam Narron Drake Saintsing & Myers,...

When Financial Planning Meets Family Law

Late 2016, the Minnesota Supreme Court decided the case of Curtis v. Curtis (887 N.W.2d 249) and in so doing provided a lesson in how to invest $2,000,000.00 to maximize your return in an alimony case....more

Lowndes

Escape to Paradise at Jimmy Buffett’s ‘Margaritaville’ Resorts, Enjoy Additional Brands

Lowndes on

Since launching its first restaurant location in Key West, Fla. in 1987, Jimmy Buffett’s ‘Margaritaville’ has expanded to some of the most popular U.S. destinations. With locations in Orlando, Pensacola, Bossier City, Pigeon...more

Dechert LLP

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on

UCITS Rulebook - The Central Bank of Ireland announced the issuance of the new UCITS Rulebook on Monday October 5th. It, and the guidance relating to it, are effective 1 November....more

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