4,535 results found

The final rule does not alter any existing requirements regarding the types of regulatory records to be inspected, produced and maintained under other CFTC regulations.

The CFTC announced plans to standardize the swaps transaction data reported to repositories, in an attempt to repair the patchwork of rules that cause data to be collected under different formats and standards.

The Financial Stability Board (FSB) revealed several policy recommendations aimed at addressing "liquidity mismatches across investment funds" as part of a wider paper dealing with structural vulnerabilities in the asset management sector.

On 3 February 2026, the Upper Tribunal handed down its judgment finding, among other things, that Banque Havilland had breached Principle 1 of the FCA's Principles for Businesses...

Legal commentary on the news and events that matter most to alternative asset managers and funds.

Jupiter launched the U.S. Equity Short Fund, which is a sub-fund of Jupiter Global Fund SICAV. The fund seek to generate an absolute return over a three-year rolling period independent...

Senator Toomey is requesting the GAO ruling in order to require that the Leveraged Lending Guidance be resubmitted to the current Congress for review.

Paris partner Hubert de Vauplane authored an article titled "Les prestataires de services sur actifs numériques de la loi PACTE

As stock market volatility ticks higher, the Liquid Alternative Investments Company has emerged to help financial advisers navigate the alternative investments space for portfolio diversification.

The SEC's Spring 2018 regulatory flexibility agenda included a prospective rule titled "Use of Derivatives by Registered Investment Companies and Business Development Companies,"...

SEC chair Mary Jo White plans to leave her post in January, paving the way for a Republican appointment who may reduce or undo the Dodd-Frank Wall Street reforms established following the financial crisis.

The SEC is reportedly reconsidering its previous approval of a pair of quadruple-leveraged ETFs, with the full commission planning to review the staff members' decision to approve an application...

The SEC published information and guidance for investors and the financial services industry on the use of robo-advisers.

As asset managers face heightened scrutiny from banking regulators over fears their lending and investing activities could pose broader risks to the marketplace, the SEC proposed rules that would require mutual funds and exchange-traded funds to create new programs to better manage their liquidity.

SEC members voted to propose limits on derivatives use by mutual funds and ETFs in a bid to protect investors in funds that rely on the high-risk transactions.

In a white paper supported financially by the Coalition for Responsible Portfolio Management and submitted to the SEC, Lewis argued that alternative mutual funds don't expose investors to undue risk.

CFTC chairman Timothy Massad tendered his resignation from the commission to President Obama, effective Jan. 20, 2017.