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Results: 1-10 of 4,498

Investment Funds, Advisers and Derivatives - Mid-Year Recap of Our 2018 Client Updates

Sidley Austin LLP
USA
July 12 2018

As the developments affecting the investment management industry continue to unfold, we have once again prepared our semi-annual compendium of

Proposed ETF Rule Comes with Widely Expected Conditions and Some Notable Twists

Thompson Hine LLP
USA
July 9 2018

SEC’s proposed Rule 6c-11 would permit most ETFs that satisfy certain conditions to operate without obtaining an exemptive order. ETFs in

Further Staff Guidance on Inadvertent Custody

Thompson Hine LLP
USA
July 9 2018

An adviser can avoid inadvertent custody if it does not recommend, request or require that clients use a particular custodian and does not know or

Hong Kong’s Open-Ended Fund Company regime launches in July 2018

Baker McKenzie
Hong Kong
July 5 2018

As part of the Hong Kong Government's plans to strengthen the City's position as an international centre for both fund management activities and

New Liquidity Option for Private BDCs

Mayer Brown LLP
USA
July 3 2018

On May 30, 2018, the Division of Investment Management of the Securities and Exchange Commission issued an exemptive order that permits private

Assetwealth management

White & Case LLP
USA
June 28 2018

White & Case partner Gavin Weir shares his predictions for the assetwealth management sector over the next 12-18 months and discusses what has been

U.S. Securities and Exchange Commission Issues Two New Frequently Asked Questions About “Inadvertent Custody”

Sidley Austin LLP
USA
June 28 2018

On June 5, 2018, the Securities and Exchange Commission (SEC) staff updated its “Staff Responses to Questions about the Custody Rule” (FAQs) by

FCA Publishes List of Overseas Cooperation Agreements for Outsourcing Portfolio Management

Katten Muchin Rosenman LLP
United Kingdom
June 22 2018

On June 14, the UK Financial Conduct Authority (FCA) published a list of cooperation agreements it has in place in relation to the outsourcing of

SEC Releases Updates to Custody Rule Frequently Asked Questions

Katten Muchin Rosenman LLP
USA
June 15 2018

On June 5, the Securities and Exchange Commission’s Division of Investment Management staff (Staff) updated its “Staff Responses to Questions About

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

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