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Results: 1-10 of 4,535

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


The SEC Issues Howey Coins through an Exclusive ICO
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • May 18 2018

The SEC has consistently demonstrated concern over the marketing of cryptocurrency trading and investments in initial coin offerings (“ICOs”), which


Retail Client Confusion Regarding Broker-Dealers and Investment Advisers: Call Me by Your Name
  • Morrison & Foerster LLP
  • USA
  • May 3 2018

In a speech on May 2, 2018 regarding the SEC’s recent proposed broker-dealer standard of conduct, Jay Clayton, Chair of the Securities and Exchange


SEC proposes rules and interpretations to protect retail investors
  • DLA Piper
  • USA
  • May 2 2018

As we reported in last week's Investment Management Alert, the Securities and Exchange Commission has voted to propose a package of rulemaking and


The Future of Luxembourg Investment Funds in the Next Decade
  • NautaDutilh
  • Luxembourg
  • April 30 2018

The fund industry is permanently evolving, but incremental changes are hardly noticed. Sometimes however, industries undergo radical changes, where


Don’t Let Your Swag Drag You Down
  • AUM Law
  • Canada
  • April 30 2018

Earlier this month, two large investment fund managers, Mackenzie Financial Corporation (Mackenzie) and Scotiabank's 1832 Asset Management LP (1832


Department of Labor Warns about Socially Responsible Investing and Shareholder Activism
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • April 30 2018

On April 23, 2018, the Department of Labor (DOL) issued Field Assistance Bulletin 2018-01 (FAB 2018-1) warning its national and regional offices that


SEC Requests Comments On Bitcoin-Related ETF Rules
  • Drinker Biddle & Reath LLP
  • USA
  • April 30 2018

The Securities and Exchange Commission (SEC) recently called for public comment on two proposed rule changes to the Chicago Board Options Exchange


FCA Adds New Interactive Tools to Asset Management Authorization Hub
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • April 27 2018

On April 20, the UK Financial Conduct Authority (FCA) updated its asset management authorization hub (Hub), which launched on October 16, 2017, as


Division of Investment Management Announces Expanded Use of Draft Registration Statement Review Procedures for BDCs
  • Venable LLP
  • USA
  • April 26 2018

Following the lead of the SEC's Division of Corporation Finance with respect to emerging growth companies, the SEC's Division of Investment Management