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Results: 1-10 of 3,793

SEC Adopts Rule Providing Modernized Delivery Option for Fund Shareholder Reports and Seeks Comments on Improving Fund Disclosure and Certain Fees of Intermediaries
  • Sullivan & Cromwell LLP
  • USA, Canada
  • June 13 2018

SEC Allows Optional “Notice and Access” Method for the Delivery of Fund Shareholder Reports and Invites Comments on Improving Fund Disclosure and on


SEC Approves E-Delivery of Shareholder Reports, Requests Comments on Other Areas
  • Morgan Lewis & Bockius LLP
  • USA
  • June 13 2018

The US Securities and Exchange Commission recently adopted Rule 30e-3 under the Investment Company Act of 1940, which will provide registered funds


SEC Proposes Expanding Safe Harbor to Promote Research on Investment Funds
  • Mayer Brown LLP
  • USA
  • May 24 2018

On May 23, 2018, the Securities and Exchange Commission (the “Commission”) proposed establishing a research report safe harbor (Rule 139b) for


Legal Entity Identifier Regulatory Oversight Committee Issues Second Progress Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 18 2018

On May 2, the Legal Entity Identifier Regulatory Oversight Committee (LEI ROC) published its second progress report, which included an overview of the


SEC Proposes Amendments to Auditor Independence Rule to Address the “Loan Provision”
  • Dechert LLP
  • USA
  • May 18 2018

The U.S. Securities and Exchange Commission (SEC) voted unanimously on May 2, 2018 to propose amendments to Rule 2-01(c)(1)(ii)(A) under Regulation


InVest - May 2018
  • Addleshaw Goddard LLP
  • United Kingdom
  • May 16 2018

The FCA has published a policy statement, setting out feedback on CP1718 and final rules implementing some of the remedies identified in its asset


Real estate financing in the United Arab Emirates
  • Afridi & Angell
  • United Arab Emirates, Global
  • May 11 2018

A structured guide to real estate financing in the United Arab Emirates


SEC Proposes Changes to Investment Company Liquidity Risk Management Liquidity Classification Disclosures
  • Dechert LLP
  • USA
  • April 9 2018

The U.S. Securities and Exchange Commission (SEC) on March 14, 2018 proposed a rule (Proposed Rule) that would: (i) eliminate or modify certain


FINRA Requests Comment on Proposed New Outside Business Activities Rule
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • April 2 2018

FINRA is seeking comment on a proposed new rule, FINRA Rule 3290 (the "Proposed Rule"), which governs the outside business activities and private


EU prudential framework for investment firms
  • Brodies LLP
  • European Union
  • March 29 2018

At the moment, investment firms that are authorised under MiFID are largely regulated under the Capital Requirements Directive (“CRD