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SEC Delays Compliance Dates for Certain Liquidity Rule Requirements; SEC Staff Issues Responses to Second Set of Liquidity Rule FAQs
  • Dechert LLP
  • USA
  • March 14 2018

The U.S. Securities and Exchange Commission (SEC) on February 21, 2018 adopted an interim final rule (Interim Rule) delaying for six months the

SEC Staff Grants a Closed-End Fund No-Action Relief Under Rule 486(b) Covering Securities Other Than Common Stock
  • Dechert LLP
  • USA
  • February 23 2018

The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC or Commission) on February 14, 2018

FCA Publishes “Dear CEO” Letter on Quality of Prudential Regulatory Returns
  • Katten Muchin Rosenman LLP
  • USA
  • February 23 2018

On February 19, the UK’s Financial Conduct Authority (FCA) published a “Dear CEO” letter that it recently sent to IFPRU investment firms and BIPRU

SEC Announces 2018 Compliance Outreach Program Seminar for Investment Advisers and Investment Companies
  • Proskauer Rose LLP
  • USA
  • February 16 2018

On Tuesday, February 13th, the Securities and Exchange Commission (SEC) announced the opening of registration for its 2018 national compliance

SEC Staff Issues Liquidity Risk Management Program FAQs
  • Vedder Price PC
  • USA
  • February 13 2018

On January 10, 2018, the staff of the SEC's Division of Investment Management issued guidance in the form of frequently asked questions (FAQs

Duty to Detect, Prevent, and Report Market Abuse and Persons Professionally Arranging or Executing Transactions
  • Paul Hastings LLP
  • United Kingdom, European Union
  • February 12 2018

The duty to detect, prevent, and report market abuse provided for under Article 16 of Regulation (EU) No 5962014 (“MAR”) applies broadly, including

ESMA Clarifies Application of the Benchmarks Regulation to Investment Funds
  • William Fry
  • European Union
  • February 9 2018

ESMA has issued a second Q&A on the Benchmarks Regulation (BMR) in less than two months that will be of interest to investment funds. The Q&A

Tax Reform: The Impact on Real Estate - Changes in Tax Rates and Deductions
  • Akerman LLP
  • USA
  • February 8 2018

The Act makes major changes to the taxation of individuals, pass-through entities, and corporations, the highlights of which are as follows:

Tax Reform and Investment Management: Effect on Registered Investment Companies
  • K&L Gates
  • USA
  • February 6 2018

The Tax Cuts and Jobs Act ("Act") significantly changed U.S. tax federal law. Although the Act does not amend any of the provisions directly affecting

SEC Staff Seeks Industry Engagement on Questions Regarding Development of Funds Holding Cryptocurrency-Related Products
  • Dechert LLP
  • USA
  • January 30 2018

The Director of the U.S. Securities and Exchange Commission (SEC) Division of Investment Management has outlined concerns of the SEC Staff (Staff