News & Analysis as of

Investment Companies

Interesting and Useful Cases in Torts and Insurance - October and November 2017 in the Fourth Circuit Court of Appeals

by Nexsen Pruet, PLLC on

Nexsen Pruet attorney Marc Manos, a member of the SC Bar Torts and Insurance Practice Section Council, sheds light on a few recent cases from the Fourth Circuit Court of Appeals, focused in the area of Torts & Insurance. ...more

New Rules on Investment Licensing and Facilities in Indonesia: Implications for Foreign Investors

by Reed Smith on

The Indonesian government has issued a new Regulation 13, which is intended to simplify the process of obtaining investment licenses and investment facilities procedures. We consider some of the key changes brought about by...more

Sullivan & Worcester Advises ETF Managers Group on Launch of First Global Dry Bulk ETF

by Sullivan & Worcester on

International law firm Sullivan & Worcester LLP acted as fund counsel to Exchange Traded Managers Group (ETFMG) on the launch of the first dry bulk shipping exchange-traded fund, Breakwave Dry Bulk Shipping ETF (NYSE ARCA:...more

SEC Proposes Changes to Investment Company Liquidity Risk Management Liquidity Classification Disclosures

by Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) on March 14, 2018 proposed a rule (Proposed Rule) that would: (i) eliminate or modify certain disclosure requirements of Form N-PORT; and (ii) add a new disclosure requirement...more

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

by Dechert LLP on

BaFin Decision Regarding the Duties of Management Companies in Respect to Externally Managed Investment Companies - After a long consultation period, BaFin published its new interpretative decision on 21 December 2017...more

Financial Services Weekly News - February 2018 #2

by Goodwin on

Editor's Note - In This Issue. The Consumer Financial Protection Bureau (CFPB) released its five-year Strategic Plan and issued a request for information on its enforcement processes; the New York State Department of...more

Investment Services Regulatory Update - February 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

SEC Expands Cryptocurrency Market Worries

by Fox Rothschild LLP on

Not one for making people feel at ease, the SEC’s Division of Investment Management has indicated that it is not comfortable with investment companies investing in cryptocurrencies and similar products. In a letter sent...more

Investment Services Regulatory Update - December 2017

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - NEW RULES - SEC Delays Form N-PORT EDGAR Filing Requirement by Nine Months - On December 8, 2017, the SEC adopted a temporary rule (the Temporary Rule) delaying by...more

SEC Announces Delay in Form N-PORT Filing Requirements

by Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) on December 8, 2017 issued a temporary final rule (Temporary Rule) that provides a nine-month delay to the dates by which certain registered investment companies (funds) must...more

SEC Postpones Date for Filing Form N-PORT

On December 8, 2017, citing the “importance of sound data security practices and protocols for sensitive, nonpublic information,” the Securities and Exchange Commission (SEC) adopted a temporary final rule postponing the...more

Treasury Report Addresses Regulatory Approaches Affecting Investment Companies and Their Advisers

by Pepper Hamilton LLP on

As required by President Trump’s Executive Order 13772, the U.S. Department of the Treasury issued a report, “A Financial System That Creates Economic Opportunities, Asset Management and Insurance,” addressing the regulatory...more

The SEC Proposes Amendments to Modernize and Simplify Regulation S-K

by Allen & Overy LLP on

On October 11, 2017, the Commissioners of the U.S. Securities and Exchange Commission (SEC) voted unanimously in an open meeting to propose amendments to Regulation S-K and related rules and forms. ...more

SEC Proposes Amendments to Modernize and Simplify Regulation S-K

by Foley & Lardner LLP on

On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted to propose amendments to modernize and simplify disclosure requirements in Regulation S-K and related rules and forms to reduce the costs and...more

Investment Services Regulatory Update - October 2017

by Vedder Price on

New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more

SEC Proposes Rules to Modernize Regulation S-K Disclosure Requirements

by Alston & Bird on

During an open meeting on October 11, 2017, the Securities and Exchange Commission (SEC) voted to propose amendments to modernize and streamline the disclosure requirements for public companies, investment advisers, and...more

Modernizing and Simplifying Disclosure with the FAST Act Mandate

Under the FAST Act mandate, the U.S. Securities and Exchange Commission (SEC) voted on October 11, 2017 to propose amendments to Regulation S-K and related rules and forms aimed at modernizing and simplifying the current...more

Blog: SEC proposes FAST Act Modernization and Simplification of Regulation S-K

by Cooley LLP on

The SEC has now posted its release regarding FAST Act Modernization and Simplification of Regulation S-K, which proposes amendments to rules and forms based primarily on the staff’s recommendations in its Report to Congress...more

SEC to Streamline Disclosures for Public Companies, Investment Companies and Investment Advisers

The United States Securities and Exchange Commission (SEC) voted in open meeting on October 11, 2017 to propose amendments to its regulations to modernize, streamline and simplify disclosure requirements for public companies,...more

Penn Succeeds in Dismissing Retirement Plan Proposed Class Action

by Seyfarth Shaw LLP on

Seyfarth Synopsis: Since August 2016, sixteen elite colleges and universities have faced class action lawsuits related to management of their retirement plans. After five cases previously survived motions to dismiss, the...more

Chris Lazarini Analyzes Court's Decision to Stay Proceedings Involving Non-Arbitrable Claims Pending the Outcome of an Arbitration

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini analyzed a case involving claims against one defendant that are arbitrable and claims against a second defendant that are not. Exercising its discretion, the court stayed the...more

OCIE Releases Cybersecurity Risk Alert

by Bracewell LLP on

On August 7, 2017, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert summarizing its most recent cybersecurity examination findings. As a part of its Phase...more

OCIE Releases Results of Cybersecurity Examination Initiative

On August 7, 2017, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a summary of its observations (the report) from cybersecurity examinations of 75...more

Investment Services Regulatory Update - August 2017

by Vedder Price on

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more

The Good and the Bad from OCIE’s Cyber Examinations and What Firms Should Do Next

by Dechert LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a National Examination Program Risk Alert (Risk Alert) on August 7, 2017 regarding observations from...more

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Cybersecurity

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