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431 results found


Katten Muchin Rosenman LLP | USA | 15 Jul 2016

SEC Increases Dollar Amount of the Net Worth Threshold Test for ‘Qualified Clients’ in Rule 205-3 Under the Investment Advisers Act of 1940

Section 205 under the Investment Advisers Act of 1940 generally prohibits a federally registered investment adviser (RIA) from receiving compensation


Herbert Smith Freehills LLP | United Kingdom | 17 Nov 2011

Tribunal upholds record fine against hedge fund manager CEO

In August 2011 the Tribunal upheld the FSA's decision to impose substantial sanctions on the Chief Executive Officer (Michiel Visser) and Chief Finance Officer and compliance officer (Oluwole Fagbulu) of a hedge fund manager (Mercurius Capital Management Ltd).


Dinsmore & Shohl LLP | USA | 7 Sep 2011

Business tax credits & deductions scheduled to expire at year-end

Several key business tax breaks are set to expire at year end unless Congress acts.


Haynes and Boone LLP | USA | 1 Sep 2011

Adjustments to qualified client standard

Pursuant to an order recently issued by the Securities and Exchange Commission (the “SEC”), the dollar amount thresholds in the definition of “qualified client” under Rule 205-3 under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), are set to increase effective as of September 19, 2011.


Reed Smith LLP | United Kingdom | 22 Aug 2011

Non-domiciles - tax-free investments in UK commercial property

Next year could bring some interesting changes for non-UK domiciled developers and investors in UK property


Paul Weiss | USA | 14 Jul 2011

SEC issues order adjusting for inflation “qualified client” tests

On July 12, 2011, the U.S. Securities and Exchange Commission (the “SEC”) issued an order (the “Order”) that adjusts for inflation two dollar amount tests in Rule 205-3 under the Investment Advisers Act of 1940, as amended (the “Advisers Act”).


Dorsey & Whitney LLP | USA | 29 Jun 2011

SEC charges two corporate officers with financial fraud

A financial fraud complaint centered on claims that two senior executives of Basin Water, Inc. falsely inflated company revenue beginning before it was publically traded and continuing through the end of 2007 was filed by the SEC.


Holland & Knight LLP | USA | 6 Jun 2011

SEC to raise dollar thresholds for charging performance fees by investment advisers

The SEC has proposed rules and issued a notice that it intends to raise the qualification requirements of persons who can pay performance based compensation to registered investment advisers.


Hall & Wilcox | Australia | 13 Apr 2011

Trading v capital draft determination

On 9 March 2011, the Australian Taxation Office (ATO) released draft Taxation Determination TD 2011D1 which deals with whether gains and losses from investments made by trustees will be on capital or revenue account.


Reinhart Boerner Van Deuren SC | USA | 8 Apr 2011

Federal judge dismisses lawsuit by pension plans against Freddie Mac

A U.S. federal judge recently dismissed a lawsuit against Freddie Mac that claimed Freddie Mac materially misrepresented its exposure to risky mortgage products, leading to investment losses.

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