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Article
Federal District Court Dismisses Derivative Claims By Mutual Fund Investors Based On Failure To Follow Proper Procedure Following Demand On Fund Board
The U.S. District Court for the Western District of Tennessee (the "District Court") (Judge Mays presiding) issued an order (the "Order") that dismissed without prejudice claims brought by certain shareholders.
United StatesFinance and Banking
Goodwin Procter LLP
Article
Financial Services Alert - May 24, 2011
The SEC issued an order (the "Order") settling administrative proceedings against a registered investment adviser (the "Adviser") and its chief executive officer (the "CEO") and its chief compliance officer until February 2010 (the "CCO") relating to SEC findings that (a) the Adviser had provided incorrect responses to inquiries from prospective clients about the Adviser’s experience with SEC examinations; (b) the Adviser had failed to comply with Rule 206(4)-2 (the "Custody Rule") under the Inv
United States

Finance and Banking

Goodwin Procter LLP

FRB Proposes Continued Inclusion of Trust Preferred Securities in Tier 1 and Tier 2 Capital

The FRB issued a much anticipated proposed rule (the "Proposed Rule") on May 6, 2004 concerning the inclusion of outstanding and prospective issuances of trust preferred securities in the tier 1 and tier 2 capital of bank holding companies ("BHCs"). The FRB has permitted the inclusion of minority interests in the form of trust preferred securities, or "undated cumulative preferred securities issued out of a special purpose entity, usually in the form

United StatesFinance and Banking

Goodwin Procter LLP

Investment Management & Funds Regulatory Update - December 2024

In this issue, we discuss recent developments regarding enforcement of the Corporate Transparency Act, and enforcement actions involving investment advisers' alleged violations of the Marketing Rule...

United StatesFinance and Banking

Davis Polk & Wardwell

Ready Or Not? Widespread Regulation Of Hedge Funds And Other Private Pools Of Capital Could Be Coming

The Obama Administration has proposed sweeping new regulations that would overhaul the U.S. financial regulatory system, including a proposal published June 17, 2009 that would require investment advisers of hedge funds and other private pools of capital whose assets under management exceed some unspecified, but modest, threshold to register with the Securities and Exchange Commission under the Investment Advisers Act of 1940.

United StatesFinance and Banking

Perkins Coie LLP

SEC Adopts Pay-to-Play Restrictions (Rule 206(4)-5)

On Wednesday June 30, 2010, members of the Securities and Exchange Commission (the "SEC") voted unanimously to approve new Rule 206(4)-5 (the "Rule") adopted under the Investment Advisers Act of 1940 (the "Advisers Act").

United StatesFinance and Banking

SEC Associate Director Gohlke Discusses Registered Adviser Compliance and the SEC Inspection Process at Fund of Hedge Funds Forum

In a speech at the Fund of Funds Forum, a conference for the fund of hedge funds ("FOF") industry, held in New York City, Gene A. Gohlke, associate director of the SEC’s Office of Compliance Inspection and Examinations ("OCIE"), discussed compliance programs for registered investment advisers, with a particular focus on conflicts of interest issues facing FOF managers, and the SEC inspection process, including steps to take to prepare for an SEC exam.

United StatesFinance and Banking

Goodwin Procter LLP

SEC Clarifies Registration Obligations Of Advisory Affiliates

In an interpretive letter dated January 18, 2012, the Office of Investment Adviser Regulation of the Division of Investment Management clarified the registration requirements of certain investment advisory affiliates.

United StatesFinance and Banking

Morrison Foerster

SEC EXAMS Division Announces 2024 Priorities Ahead Of Schedule

On October 16, 2023, the SEC's Division of Examinations (EXAMS) published its exam priorities for 2024.

United StatesFinance and Banking

Goodwin Procter LLP

SEC Modifies Definition Of "Accredited Investor"

The US Securities and Exchange Commission has adopted a final rule implementing a new requirement that the value of an individual's primary residence be excluded when determining whether the individual is an accredited investor.

United StatesFinance and Banking

SEC Proposes Amendments To The Investment Company Act To Reduce Reliance On Credit Ratings

In response to the subprime mortgage crisis and issues related to the quality of credit ratings utilized by money market funds to evaluate the quality of each instrument, the Securities and Exchange Commission (the "SEC") proposed amendments to its rules under the Investment Company Act of 1940

United StatesFinance and Banking

The Volcker Rule: Implications for Private Fund Activities

On May 20, 2010, the US Senate passed its version of comprehensive financial services reform legislation, the "Restoring American Financial Stability Act of 2010" (the "Senate Bill").

United StatesFinance and Banking

U.S. Consumer Financial Protection Bureau Rulemaking: A New Frontier For Cost- Benefit Analysis

The Consumer Financial Protection Bureau (CFPB) recently announced that it plans to propose a series of rules regarding mortgage servicing during the summer of 2012 with the intention of finalizing them by January 2013.

United StatesFinance and Banking

REIT IPOs – Déjà vu All Over Again

Sponsors of institutional private real estate funds have had difficulties accessing new equity during the past year. In fact, the second quarter of 2009 saw the lowest amount of equity capital raised by private real estate funds in any quarter since 2004.

United StatesReal Estate and Construction

Drowning In Data, Starving For Insight

Leaders don't want more dashboards; they want proof that marketing spend drives revenue and profit.

United StatesStrategy

Alvarez & Marsal

Electronic Filing Of Form D And Amendments Becomes Mandatory On March 16

A Form D is required to be filed with the SEC and the states for private offerings of securities under Regulation D and Section 4(6) of the Securities Act of 1933, as amended.

United StatesStrategy

Equity Compensation for Private Equity Investors and Entrepreneurs – Ten Current Topics

Equity compensation is a subject that captures the attention of private equity investors and company management teams alike. Historically, the rules and standard techniques used to grant equity compensation were relatively static.

United StatesStrategy

Goodwin Procter LLP

Investment Manager Report

United StatesStrategy

Hale and Dorr LLP

Morrison & Foerster / 451 Research Complete Second M&A Leaders Survey

Concern over sluggish economic growth in the United States has tech dealmakers feeling less optimistic about the M&A market today than they were six months ago.

United StatesStrategy

Morrison Foerster

The Latest Liability Management Technology: Structurally Senior Minority-Owned Joint Venture Financings

Last month, a publicly traded company (the "Company") announced the formation and capitalization of a new joint venture (the "JV") in a deal-away transaction...

United StatesStrategy

Proskauer Rose LLP

Showing 981–1000 of 1814 results

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