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ESMA issues draft advice on possible AIFMD implementing measures in relation to supervision and third countries
- Katten Muchin Rosenman LLP
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- European Union
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- August 26 2011
On August 23, the European Securities and Markets Authority (ESMA) published consultation paper ESMA2011270 (Consultation on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries
European regulators extend short selling restrictions
- Katten Muchin Rosenman LLP
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- Belgium, France, Greece, Italy, Spain
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- August 26 2011
The short selling restrictions reported in the August 19 edition of Corporate & Financial Weekly Digest have been extended by Spain and Italy until September 30, and by France until “at least November 11, 2011.” The Belgian and Greek restrictions remain of indefinite duration
European regulators impose short sale bans
- Katten Muchin Rosenman LLP
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- Belgium, France, Italy, Spain
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- August 19 2011
On August 11, the financial regulators in Belgium, France, Italy and Spain introduced short selling restrictions on shares of certain named financial institutions and derivatives (e.g., futures) linked to those securities
SEC chairman acknowledges extension of investment adviser registration deadlines
- Katten Muchin Rosenman LLP
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- USA
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- May 20 2011
Section 403 of the Dodd-Frank Wall Street Reform and Consumer Protection Act repeals, as of July 21, the private adviser exemption in Section 203(b)(3) of the Investment Advisers Act of 1940 and will require advisers relying on that exemption (including advisers to many hedge funds and other private funds) to register with the Securities and Exchange Commission
SEC approves proposed rule changes to FINRA Rule 5131
- Katten Muchin Rosenman LLP
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- USA
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- May 20 2011
The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposed rule changes to Rule 5131 that delete paragraph (b)(1) and delay the implementation date of paragraphs (b) and (d)(4) until September 26
Federal Reserve clarifies extension of conformance period for the Volcker Rule
- Katten Muchin Rosenman LLP
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- USA
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- February 11 2011
On February 8, the U.S. Federal Reserve Board adopted a final rule to implement the conformance period for compliance with the Volcker Rule, which generally prohibits banking entities from engaging in proprietary trading and from investing in, sponsoring, or having certain relationships with a hedge fund or private equity fund
SEC charges hedge fund managers with fraud for side pocket valuation and theft of investor assets
- Katten Muchin Rosenman LLP
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- USA
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- October 22 2010
The Securities and Exchange Commission filed a complaint on October 19 in the U.S. District Court for the Northern District of Georgia against hedge fund portfolio managers Paul Mannion, Jr. and Andrew Reckles and their investment advisory entities, PEF Advisors LLC and PEF Advisors Ltd., for defrauding investors in the Palisades Master Fund, L.P
SEC staff conducting broad analysis of derivative use by registered funds: certain ETF applications are temporarily placed on hold until study is concluded
- Katten Muchin Rosenman LLP
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- USA
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- March 26 2010
On March 26 at the SEC Speaks 2010 conference, Andrew J. Donohue, the Director of the Securities and Exchange Commission’s Division of Investment Management (Division), stated that he has convened a task force to examine the use of derivatives by all funds registered under the Investment Company Act of 1940
Senate Mortgage Fraud Bill amended to include proposal for creation of Financial Markets Commission
- Katten Muchin Rosenman LLP
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- USA
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- April 24 2009
On April 22, the Senate approved an amendment to S. 386, the Fraud Enforcement and Recovery Act of 2009 (FERA), offered by Senator John Isakson, which provides for the establishment of a Financial Markets Commission (FMC
SEC proceedings in connection with recommendations to invest in Bayou
- Katten Muchin Rosenman LLP
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- USA
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- April 24 2009
On April 22, the Securities and Exchange Commission issued an Order Instituting Administrative Cease-And-Desist Proceedings in the matter of Hennessee Group LLC and its principal, Charles Gradante, in connection with Hennessee’s recommendations to clients to invest in the Bayou funds
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- Firm Name - Katten Muchin Rosenman LLP
- Author - Marilyn Selby Okoshi
- Workarea - Capital Markets
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