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Ropes & Gray LLP | USA | 28 Jun 2022
Podcast: Fully Invested: Form ADV
In this Episode of Fully Invested, Ropes & Gray asset management attorneys Jason Brown, Bryan Hunkele, Joel Wattenbarger and Alyssa Horton provide a…
Ropes & Gray LLP | USA | 26 May 2022
SEC Settles First Enforcement Action Against Mutual Fund Adviser Challenging Funds’ ESG Disclosure
The Securities and Exchange Commission ("SEC") announced (here) settled cease and desist charges and a $1.5 million penalty against a mutual fund…
Skadden Arps Slate Meagher & Flom LLP | USA | 25 May 2022
Investment Management Update - May 2022
In this issue, we cover regulatory developments impacting the investment management sector, including updates on closed-end fund activism; new SEC…
Sidley Austin LLP | USA | 20 May 2022
Federal Appeals Court Holds SEC Administrative Proceedings Are Unconstitutional
On May 18, 2022, a split panel of the U.S. Court of Appeals for the Fifth Circuit held in Jarkesy v. SEC that Securities and Exchange Commission (SEC…
Kurtin PLLC | USA | 28 Apr 2022
Raising Capital through Private Placements Exemption Chart (April 2022 Update)
This is the Appendix 1 Securities Act Exemption Chart from our "Raising Capital through Private Placements: Deal Points" advisory, April 2022 in…
Kurtin PLLC | USA | 28 Apr 2022
Raising Capital through Private Placements: Deal Points (April 2022 Update)
Any attempt to raise capital by the offer and sale of securities in the U.S. market must be made with a publicly filed registration statement…
Bryan Cave Leighton Paisner LLP | USA | 1 Mar 2022
The SEC’s Recent Observations from Examinations into Private Fund Advisers
In the last five years, the SEC observed a 70% increase in the value of private fund assets. More than 5,000 SEC-registered advisers currently manage…
Bryan Cave Leighton Paisner LLP | USA | 24 Feb 2022
Marketing Non-US Private Funds to US Investors
The U.S. Securities Act of 1933 (the “Securities Act”) requires every offer and sale of securities made using U.S. means of interstate commerce to be…
Skadden Arps Slate Meagher & Flom LLP | European Union, USA | 21 Feb 2022
Challenges for Cross Border Distribution of Private Funds in 2022
On January 12, 2022, Skadden partners Greg Norman and Anna Rips led the webinar “Challenges for Cross-Border Distribution of Private Funds in 2022,”…
Fredrikson & Byron PA | USA | 18 Feb 2022
SEC Proposes New Cybersecurity Risk Management Rules for Advisers and Funds
Last week, the Securities and Exchange Commission (SEC) voted to propose new rules applicable to registered investment advisers and investment…
