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762 results found

Article

Morgan Lewis | USA | 13 Jun 2018

SEC Approves E-Delivery of Shareholder Reports, Requests Comments on Other Areas

The US Securities and Exchange Commission recently adopted Rule 30e-3 under the Investment Company Act of 1940, which will provide registered funds

Article

Dechert LLP | USA | 19 Dec 2017

Bitcoin Futures Trading Commences; Implications for Funds and Registered CPOs and CTAs

The Chicago Mercantile Exchange (CME) and the CBOE Futures Exchange (CFE) on December 1, 2017 self-certified contracts for bitcoin futures products

Article

K&L Gates | USA | 6 Feb 2017

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool

Article

Sidley Austin LLP | USA | 17 Jan 2017

The Investment Funds and Advisers 2016 Year-End Client Update Recap

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

Article

Winston & Strawn LLP | USA | 11 Jul 2016

Financial Services Update, vol. 11, no. 25

The Securities and Exchange Commission (“SEC”) was busy on June 28, 2016, proposing rules and making announcements that, if ratified, will

Article

Katten Muchin Rosenman LLP | USA | 12 Apr 2015

SEC seeks comments on cost benefit of rule permitting investment companies to post margin directly with FCMs, not third-party custodians

The Securities and Exchange Commission is seeking comment on cost-benefit aspects of its rule that authorizes investment companies to maintain assets

Article

Vedder Price PC | USA | 24 Sep 2014

Potential CPO and CTA registration relief for registered investment companies

Section 361 of the proposed 2014 CFTC Reauthorization Act (the Proposed Act) could dramatically affect many registered investment companies (RICs)

Article

Thompson Hine LLP | USA | 21 Jul 2014

Proposed exemption from commodity pool operator status for certain advisers to registered investment companies

On June 24, 2014, the U.S. House of Representatives adopted the Commodity Futures Trading Commission Reauthorization Bill (H.R. 4413), which includes

Article

Schulte Roth & Zabel LLP | USA | 23 Jan 2014

Summary of final Volcker Rule regulation compliance programs

On Dec. 10, 2013, the Commodity Futures Trading Commission ("CFTC"), Federal Deposit Insurance Corporation ("FDIC"), Federal Reserve Board (the

Article

Eversheds Sutherland (US) LLP | USA | 10 Jan 2014

Legal alert: the Volcker Rule: the rising appeal of registered investment companies and BDCs

On December 10, 2013, the U.S. Federal Reserve, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the

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