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Results: 1-10 of 173

ESMA Issues Update on Extension of Funds' Marketing Passport to 12 Non-EU Countries
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • July 24 2016

The European and Securities Markets Authority reported that equivalency in oversight of US and European Union investment funds not involving any


OCIE Begins IA Sweep to Detect Possible Conflict of Interest Related to Recommendations of Mutual Fund Shares Classes With High Charges
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced that, in upcoming audits, it would specifically


SEC Division of Corporation Finance Issues New C&DIs on AB Exchanges
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2016

The staff of the Securities and Exchange Commission, through a series of letters, which began with a 1988 no-action letter to Exxon Capital Holdings


Structuring Equity Interests for Independent Sponsors
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2016

In a traditional private equity fund, the fund managers will raise money from investors to establish a pool of capital the fund can then use to


SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration
  • Katten Muchin Rosenman LLP
  • USA
  • June 2 2016

A recent SEC enforcement action against a private equity firm highlights issues identified in a recent speech by the Director of the Securities and


Independent Sponsor Transactions Forge AheadKatten’s Take on These PE Deals
  • Katten Muchin Rosenman LLP
  • USA
  • May 4 2016

With an all-time record set last year for the highest value of merger and acquisition transactions in the United States at $1.97 trillion, there were


FSOC Expresses Concerns That Pooled Investment Vehicles’ Liquidity and Redemption Risks May Pose Financial Stability Concerns
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The Financial Stability Oversight Council issued an update on asset management products and activities that, it claimed, might pose threats to


SEC Chair Addresses Advisory Committee on Small and Emerging Companies
  • Katten Muchin Rosenman LLP
  • USA
  • March 4 2016

On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on Small and Emerging


SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies
  • Katten Muchin Rosenman LLP
  • USA
  • February 19 2016

The Securities and Exchange Commission announced that its Advisory Committee on Small and Emerging Companies (Committee) will hold another public


Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i)
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2016

On February 9, the Securities and Exchange Commission withdrew a no-action letter that was issued on November 28, 2012 (Old Letter), and issued a new