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Every month, our London regulatory team publish articles, alerts and blog posts on a wide range of European regulatory topics relevant to asset managers.

On January 24, 2013, the California Supreme Court in Aryeh v. Canon Business Solutions, Inc., clarified previously unsettled law by holding that the so-called "continuous accrual" common law theory of equitable tolling applies to the four-year statute of limitations for actions brought under California’s unfair competition statute, Business & Professions Code section 17200 et seq. (the "UCL").

Investment manager Third Point LLC and three of its affiliated funds have entered into a proposed settlement agreement with the federal antitrust authorities for violations of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, arising from improper reliance on the "investment-only" exemption.

On June 3, 2020, the Senate unanimously passed H.R. 7010, also known as the Paycheck Protection Program Flexibility Act of 2020 (the "Act"), which amends certain provisions of the Paycheck Protection Program ("PPP") established under the CARES Act.

On December 21, 2020, a bipartisan agreement was reached on the Consolidated Appropriations Act 2021 (Phase 4 Stimulus), in furtherance of the fourth phase of the federal government's response...

On November 1, 2016, the staff of the Securities and Exchange Commission issued interpretive guidance concluding that in Up-C structures the holding period of LLC units or other partnership interests in the subsidiary . . .

The Spring 2018 unified regulatory agenda – the so-called "Reg Flex" agenda – came out on May 9.

On June 21, 2018, the Court of Appeals for the Fifth Circuit issued a mandate vacating the DOL's conflict of interest rule and related exemptions (the "fiduciary rule").

The IRS has released guidance to address employers’ questions about the retroactive increase in the monthly income exclusion for certain transportation benefits enacted as part of the American Taxpayer Relief Act of 2012 on January 2, 2013.

On December 16, the IRS released Notice 2014-1, providing additional guidance on administration of employee benefit plans in light of the Supreme Court’s June 26, 2013 decision in "United States v. Windsor".

The Securities and Exchange Commission yesterday issued interpretive guidance on the CEO pay ratio rule. Separately, the SEC's Division of Corporation Finance issued guidance on calculation of the pay ratio.

On May 18, 2015, the Supreme Court of the United States confirmed the existence of an independent duty on the part of ERISA plan fiduciaries to continuously "monitor" retirement plan investments and remove those that are imprudent.

In November 2022, the U.S. Federal Government proposed the Federal Supplier Climate Risks and Resilience Rule. This rule would amend the Federal Acquisition Regulation...

On November 22, 2011, the SEC announced a settlement with Fifth Third Bancorp over allegations that, in violation of Regulation FD, it selectively disclosed its decision to redeem a class of trust preferred securities.

As reported in a previous alert, the UK Financial Conduct Authority announced on July 27, 2017 that, by 2021, it intends to replace LIBOR, the key benchmark rate underlying hundreds of trillions of dollars in lending ...

On July 6 and July 10, the Securities and Exchange Commission (the "SEC") and the Commodity Futures Trading Commission (the "CFTC" and, together with the SEC, the "Commissions"), respectively, adopted final rules defining the terms "swap," "security-based swap," and "security-based swap agreement," governing "mixed swaps," and establishing books and records requirements for "security-based swap agreements."

The CFTC staff hosted a public roundtable on July 6, 2011 to discuss its proposed elimination or narrowing of exemptions from commodity pool operator registration.