On 6 July, the European Securities and Markets Authority (ESMA) announced it had launched a Common Supervisory Action (CSA) with National Competent Authorities (NCAs) on the integration of sustainability risks and on sustainability-related disclosures in the investment fund sector.

The UK's Financial Conduct Authority has put back the opening date for the application gateway for recognition of new UCITS schemes (i.e. those schemes not already registered...

In Gill v. Genency Holdings, LLC, C.A. No. 2023-0349-BWD (Del. Ch. June 26, 2023), a Master in Chancery recommended that LLC members established standing to inspect books...

Schulte Roth & Zabel partner Boris Ziser, co-head of the Finance Group and global leader of the litigation funding practice, was recently featured in the Bloomberg Law article, "Private Equity Flows Into Arizona to Run National Tort Firms."

Foley recently cohosted a webinar with 4thly where a panel of experts discussed early-stage start-up financings in the new economy.

The long-awaited SEC private fund rules were put on ice by the Fifth Circuit U.S. Court of Appeals today when the appellate court struck down the rules...

Cadwalader partner and Fund Finance head Wes Misson was profiled in the September 2024 edition of Waxhaw & Martin Living magazine in an article, "Alzheimer's Impact Hits Home for Waxhaw Resident, Wes Misson."

Audax Private Equity recently announced it closed two new funds with a combined $7.8 billion.

At the outset of every credit agreement negotiation, the implicit goal is to reach an agreement on representations and covenants that allows the Fund to operate as needed while also protecting...

In a recent settlement with FINRA, a major broker-dealer agreed to pay over $3 million in monetary sanctions due to supervisory failures related to short-term trading recommendations.

Global Legal Group this week launched the 2023 edition of Fund Finance 2023 (aka the "Pink Book"), the leading legal treatise for the fund finance industry. Now in its seventh...

Non-concessionary impact funds are a type of private investment fund that aims to achieve positive social, environmental or other beneficial outcomes while offering market-rate financial returns to investors.

Kelley Howes spoke to Bloomberg Law about the U.S. Securities and Exchange Commission (SEC) adopting regulations aimed at increasing transparency in the multi-trillion-dollar private fund industry...

On August 5, a prominent investment brokerage firm disclosed in a quarterly filing that it has been responding to requests from the SEC since April related to the firm's...

On March 16, a coalition of attorneys general from 15 states and the District of Columbia filed a complaint in the U.S. District Court for the Northern District of California challenging a set of September 2025...

On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15 percent...

Firms would be able to treat private residences as non-branch offices instead of OSJs under certain circumstances. FINRA hopes to align its supervisory rules with current work-from-home practices.

As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 9, 2024 in order to cover such fees.

On August 23, 2023, the SEC adopted sweeping new rules that will impose substantial regulation on the management and operation of private funds by investment advisers.

In a recent article, The Bond Buyer highlighted Mintz's role as bond counsel in a $1 billion deal for the Massachusetts Bay Transit Authority...