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For concentrations meeting the conditions set forth in Article L. 430-2 of the French Commercial Code, a notification to the French Competition Authority (Autorité de la concurrence) is mandatory

We are pleased to share with you the latest issue of Kramer Levin Alumni News. In this issue, you'll hear about some recent cultural observances the firm celebrated...

BlackRock is readying a suite of actively managed equity ETFs designed by robots.

The SEC is focusing on complex and hidden fees that pose a risk to investors, chairman Jay Clayton revealed in a recent speech at a Practising Law Institute conference in New York.

President-elect Donald Trump's campaign strategists have said he will repeal the federal rule that requires retirement investment advisers to abide by a fiduciary standard...

Fintech firm Artivest closed its merger with alternative asset manager Altegris. Artivest's digital alternative investment platform targets qualified investors and financial advisors seeking access ...

Liquid alternatives firm Hatteras Funds entered into a subadvisory agreement with Adams Street Partners that will give investors access to an array of private equity strategies.

Several firms, including Investment Company Institute, BlackRock, Fidelity and Franklin, commented to the SEC concept where retail investors could gain greater exposure to growth-stage private companies ...

We are seeing Interval Alts (registered investment funds featuring hedge fund-like liquidity) being used for dedicated insurance-linked securities (ILS) strategies.

New York-based investment adviser deVere USA agreed to pay an $8-million civil penalty to resolve SEC allegations that it failed to disclose conflicts of interest to its retail clients.

The SEC approved an optional "notice and access" method for mutual funds, ETFs and other investment funds to deliver shareholder reports.

Ken C. Joseph, the SEC’s Head of Investment Adviser/Investment Company Examination Program in the New York Regional Office, is set to resign after 21 years of service.

The SEC's Office of Compliance Inspections and Examinations released its 2018 examination priorities.

Acting SEC chairman Michael Piwowar says the agency should be tasked with writing its own fiduciary rule to govern advice stockbrokers provide to retail investors.

An SEC registered investment company (RIC) is subject to regulation of certain investment activities and its governance under the Investment Company Act.

Andrew M. Calamari, director of the SEC's New York Regional Office, will leave the agency this month after 17 years of service.

Republican SEC commissioner Daniel Gallagher, who submitted his resignation letter to the White House in May, said he won't stay on at the agency past Oct. 2.