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
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
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
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
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
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
“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
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
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
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
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
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