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Results:1-10 of 3,773

“Covered Investment Fund” Research Begins January 14, 2019
  • K&L Gates
  • USA
  • January 15 2019

The Securities and Exchange Commission (“SEC”) has traditionally recognized the value of market and issuer research to the investment decision-making


Fintech in Liechtenstein
  • NÄGELE Attorneys at Law
  • Liechtenstein, Global
  • January 9 2019

A structured guide to fintech in Liechtenstein


SEC Proposes a New Rule for Fund of Funds Arrangements
  • K&L Gates
  • USA
  • January 8 2019

On December 19, 2018, the Securities and Exchange Commission (the “SEC”) proposed new rule 12d1-4 (the “Proposed Rule”) under the


SEC Proposes New Rule for Fund of Funds Arrangements
  • Thompson Hine LLP
  • USA
  • January 7 2019

Proposed Rule 12d1-4 streamlines rules for registered fund of funds arrangements by allowing a registered investment company to acquire


How SEC's List of Examination Priorities for 2019 Will Affect Private Fund Advisers
  • Jones Day
  • USA
  • January 7 2019

The Office of Compliance Inspections and Examinations ("OCIE") of the U.S. Securities and Exchange Commission has released its


ESMA Provides Update on Assessment of Third-Country Trading Venues Under MiFID II and MiFIR
  • Katten Muchin Rosenman LLP
  • European Union
  • December 21 2018

On December 20, the European Securities and Markets Authority (ESMA) published a press release providing an update on its assessment of third-country


SEC Proposes Rule and Rule Amendments For Fund of Funds
  • Drinker Biddle & Reath LLP
  • USA, Canada
  • December 21 2018

At an open meeting on December 19, 2018, the Securities and Exchange Commission (SEC) proposed a new rule and rule amendments to streamline and


SEC Proposes Fund of Funds Rule
  • Mayer Brown
  • USA
  • December 20 2018

Currently, funds are required to rely on existing statutory exemptions or exemptive rules or seek exemptive relief prior to creating a fund of funds


SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • December 20 2018

The Securities and Exchange Commission (SEC) adopted final rules to allow reporting companies to rely on the Regulation A exemption to conduct


SEC Chair Recaps Year and Outlines Priorities
  • Mayer Brown
  • USA, United Kingdom, European Union
  • December 7 2018

In a speech yesterday, Securities and Exchange Commission Chair Jay Clayton provided an overview of the Commission’s significant accomplishments in