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The SEC's Modernized Marketing Rule for Investment Advisers

USA - January 20 2021 On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the Final Rule) to Rule 206(4)-1 under the Investment…

Britney E. Ryan, Catherine O'Neill, Jennifer A. DiNuccio, Kasey L. Lekander, Lindsay R. Grossman, Michael S. Caccese, Pablo J. Man, Pamela A. Grossetti, Richard F. Kerr.

Goodbye to All That: SEC Adopts Rules Overhauling Funds' Use of Derivatives; Ends Asset Segregation

USA - November 12 2020 On 28 October 2020, the U.S. Securities and Exchange Commission adopted Rule 18f-4 under the Investment Company Act of 1940, as amended. The rule…

Britney E. Ryan, Fatima S. Sulaiman, Kenneth Holston, Matthew J. Rogers.

Know Your Limits: The CFTC Adopts Position Limits for Derivatives Related to Energy, Agriculture, and Metals Products

USA - November 4 2020 The Commodity Futures Trading Commission (CFTC) recently voted 3-2, along party lines, to approve a final rule (Final Rule) regarding…

Clifford C. Histed, Edgar Mkrtchian, Matthew J. Rogers, Michael G. Lee, Stephen M. Humenik.

Snapshot: fund management regulation in USA

USA - June 30 2020 This article looks at some of the key aspects of fund management regulation in USA, including key legislation, regulatory authorities and authorisation requirements.

Abigail P. Hemnes, Clair E. Pagnano, Pablo J. Man.

Q&A: managing retail funds in USA

USA - June 30 2020 A look at some of the essential considerations for retail fund management in USA, including available vehicles, authorisation, tax treatment and reporting requirements.

Abigail P. Hemnes, Clair E. Pagnano, Pablo J. Man.