Kenneth S. Gerstein
Schulte Roth & Zabel LLP
Articles
Registered Investment Company Update: New Guidance on Liquidity Risk Management Programs
USA - April 23 2018 On Jan. 10, 2018, the staff of the Division of Investment Management of the SEC posted responses to a number of Frequently Asked…
Jessica A. Falzone, John J. Mahon, Paul N. Roth, Karen Spiegel, William D. Zabel
Registered Investment Company Update: New Guidance on Liquidity Risk Management Programs
USA - February 7 2018 On Jan. 10, 2018, the staff of the Division of Investment Management of the SEC posted responses to a number of Frequently Asked Questions (“Staff…
SEC Delays Form N-PORT Filing Requirements and Adopts Related Temporary Final Rule
USA - January 17 2018 On Dec. 8, 2017, the Securities and Exchange Commission (“SEC”) issued a release delaying the dates by which certain registered funds must begin…
Business Development Company Update: Excessive Fees Lawsuit Against Adviser Dismissed
USA - March 2 2017 A decision issued on Jan. 24, 2017, in the U.S. District Court for the Southern District of New York dismissed a complaint alleging the payment of…
SEC Proposes Rule Governing the Use of Derivatives and Short Sales by Registered Investment Companies and Business Development Companies
USA - January 15 2016 On Dec. 11, 2015, the Securities and Exchange Commission (the “SEC”) issued a release proposing the adoption of new Rule 18f-4 under the Investment…
