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Searching Content by Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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2
CFTC Proposes De Minimis Exception To The Swap Dealer Definition
The CFTC proposed to amend the de minimis exception within its regulations' "swap dealer" definition in several ways, including:
United States
22 Jun 2018
3
New York's High Court Holds That Three-Year Statute Of Limitations Applies To Martin Act Claims, Trimming The State's Securities Law
The Martin Act is one of the most powerful tools in the attorney general's regulatory arsenal because, unlike similar causes of action, it does not require scienter, or intent to defraud.
United States
20 Jun 2018
4
Oppenheimerfunds, Carlyle Partner On Private Credit Interval Fund Launch
OppenheimerFunds and Carlyle partnered to launch OFI Carlyle Private Credit Fund.
United States
13 Jun 2018
5
SEC Obtains Emergency Order Halting Fraudulent 'Blockchain Evangelist' ICO
The SEC obtained a court order halting an ongoing fraud involving an initial coin offering that had raised up to $21 million from investors inside the U.S. and abroad, along with an emergency asset freeze...
United States
8 Jun 2018
6
Investment Adviser, Two Former Managers Charged With Misleading Retail Clients
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.
United States
8 Jun 2018
7
Proposed Rule Changes Promote Registered Fund Research Reports
The SEC proposed rules and amendments designed to promote research on registered closed-end funds, mutual funds, exchange‑traded funds, BDCs, and similar covered investment funds.
United States
8 Jun 2018
9
SEC Adds Prospective Derivatives Rule For Investment Companies To Regulatory Flexibility Agenda
The SEC's Spring 2018 regulatory flexibility agenda included a prospective rule titled "Use of Derivatives by Registered Investment Companies and Business Development Companies,"...
United States
8 Jun 2018
10
Mutual Funds Gain Approval For Paperless Reporting
The SEC approved an optional "notice and access" method for mutual funds, ETFs and other investment funds to deliver shareholder reports.
United States
8 Jun 2018
11
CFTC Staff Issue Cryptocurrency Advisory For Registered Exchanges And Clearinghouses
The CFTC's Division of Market Oversight (DMO) and Division of Clearing and Risk (DCR) issued a joint staff advisory giving exchanges and clearinghouses registered with the CFTC guidance...
United States
25 May 2018
12
SEC Launches Mock Scam Website To Highlight Risks Of ICOs
In response to the rapid growth of the ICO market and the accompanying rise of related scams and frauds, the SEC launched HoweyCoins.com, a mock ICO website touting "an all too good to be true investment opportunity."
United States
25 May 2018
13
Market Conditions Favor Liquid Alternative Funds: Calamos CEO
In an interview with Bloomberg, Calamos Investments CEO John Koudounis discussed how the current economic conditions are optimal for liquid alternative funds.
United States
25 May 2018
14
Proposed CFTC Rule Aims To Reduce Regulatory Burdens For Market Participants
The CFTC proposed a rule designed to reduce regulatory burdens for U.S. market participants and promote economic growth and job creation.
United States
25 May 2018
15
New Public Alternative Funds - May 24, 2018
New Public Alternative Funds - May 24, 2018
United States
25 May 2018
16
SEC Charges Brokerage Firms, AML Officer With AML Violations
The SEC settled charges against broker-dealers Chardan Capital Markets and Industrial and Commercial Bank of China Financial Services (ICBCFS) for failing to report suspicious sales...
United States
25 May 2018
17
SEC Issues FAQs Regarding Share Class Selection Disclosure Initiative
The SEC's Division of Enforcement issued answers to frequently asked questions (FAQs) on its Share Class Selection Disclosure Initiative, providing additional information about adviser eligibility....
United States
15 May 2018
18
SEC Launches Investor Protection Tool
The SEC launched SEC Action Lookup for Individuals - or SALI - an online search feature that allows investors to research whether a person trying to sell them investments has a judgment...
United States
15 May 2018
19
CFTC Releases White Paper Outlining Swaps Reform Progress
CFTC chairman J. Christopher Giancarlo released Swaps Regulation Version 2.0: An Assessment of the Current Implementation of Reform and Proposals for Next Steps ...
United States
15 May 2018
20
CFTC Publishes Guidance Regarding Exemption From Aggregation
The CFTC's Division of Market Oversight issued interpretive guidance regarding CFTC Regulation 150.4(b)(1), which is an exemption from position aggregation requirements for certain commodity pool investors.
United States
15 May 2018
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