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Funds Talk: December 2016
  • Kramer Levin Naftalis & Frankel LLP
  • European Union, France, United Kingdom, USA
  • December 1 2016

The Office of Compliance Inspections and Examinations (OCIE) announced it is examining registrants' compliance with key whistleblower provisions


2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • European Union, Hong Kong, Ireland, OECD, United Kingdom, USA
  • November 15 2016

On March 10, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a


Governance & Securities Law Focus: Latin America Edition, October 2016
  • Shearman & Sterling LLP
  • European Union, Hong Kong, Italy, United Kingdom, USA
  • October 26 2016

This newsletter provides a snapshot of the principal US and selected global governance and securities law developments during the third quarter of


Governance & Securities Law Focus: Asia Edition, October 2016
  • Shearman & Sterling LLP
  • European Union, Germany, Hong Kong, Italy, United Kingdom, USA
  • October 24 2016

On 16 August 2016, the China Securities Regulatory Commission and the Securities and Futures Commission jointly announced (the "Joint Announcement"


Governance & Securities Law Focus: Europe Edition, October 2016
  • Shearman & Sterling LLP
  • Germany, Hong Kong, Italy, United Kingdom, USA
  • October 17 2016

On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to


Citing "Issue Preclusion," the Delaware Court of Chancery Denies Advancement to a Company's Vice President
  • Duane Morris LLP
  • USA
  • August 5 2016

The Delaware Court of Chancery typically holds that a corporation must advance the fees and expenses of an executive or officer-level employee who is


Third-Party Service Provider to Private Equity Funds Pays More Than $350,000 for Gatekeeping Failures
  • Drinker Biddle & Reath LLP
  • USA
  • June 21 2016

On June 16, 2016, Apex Fund Services (US), Inc., settled charges that it ignored clear indications of fraud while keeping records and preparing


Sidley Perspectives on M&A and Corporate Governance - June 2016
  • Sidley Austin LLP
  • USA
  • June 10 2016

The exposure of corporate directors to shareholder derivative suits relating to their obligations to provide "risk oversight" to the company may turn


Protecting the Private Equity Firm and its Deal Professionals from the Obligations of its Acquisition Vehicles and Portfolio Companies
  • Weil Gotshal & Manges LLP
  • United Kingdom, USA
  • May 23 2016

In the countercultural attitudes of the 1960s, there was a lot of talk about the need to get behind the facade presented by one’s outward facing


Investment management legal regulatory update - April 2016
  • Morrison & Foerster LLP
  • USA
  • April 20 2016

The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving