Searching Content indexed under Fund Management/ REITs by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Fund Manager And CIO Settle SEC Charges For Failure To Properly Value Assets
A private fund manager and its chief investment officer ("CIO") settled SEC charges for compliance deficiencies that resulted in inaccurate valuations of client assets.
United States
10 Jun 2019
FTC Charges Company With Misusing Consumer Funds In Crowdfunding Scheme
The FTC charged a company and its officer with using customer funds raised through crowdfunding on personal expenses and marketing, rather than the development of several promised products.
United States
22 May 2019
Annuities Firm Settles FINRA Charges For Misrepresenting Contents Of Bond Fund Portfolio
An annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds to 401(k) sponsors and participants.
United States
20 May 2019
Industry Associations Comment On SEC Regulatory Framework For "Fund Of Funds" Arrangements
Several industry associations proposed amendments to an SEC-proposed new rule intended to "streamline and enhance" the regulatory framework for "fund of funds arrangements"
United States
20 May 2019
Treasury Proposes Second Set Of Regulations On Opportunity Zones
The U.S. Treasury Department ("Treasury") clarified the Opportunity Zone tax incentive through a second set of proposed regulations.
United States
16 May 2019
Associations Call On IOSCO To Impose Standardized ESG Disclosure Requirements
The Managed Funds Association and the Alternative Investment Management Association (collectively, the "Associations") advocated for IOSCO and global securities regulators.
United States
29 Apr 2019
SEC Grants Relief To Collective Trust Funds Accepting Assets Of Certain Puerto Rico Retirement Plans
The SEC Division of Investment Management granted no-action relief, allowing certain Puerto Rico retirement plans to participate in "bank-maintained" collective trust funds without requiring the trust to register...
United States
23 Apr 2019
ICI Opposes NY State Bills To Reduce Rebate Of Stock Transfer Sales Tax
The Investment Company Institute ("ICI") expressed opposition to New York State bills that would reduce the rebate of stock transfer sales tax from 100 percent to 60 percent.
United States
23 Apr 2019
MFA Comments On Hedge Clauses In Client Agreements
The Managed Funds Association (the "MFA") commented on (i) the SEC's proposed interpretation of the standard of conduct for investment advisers and (ii) related letters by the Institutional Limited Partners Association.
United States
5 Apr 2019
SEC Proposes Revising Offering Process For BDCs And Closed-End Funds
The SEC proposed modifying the offering process for business development companies ("BDCs") and other closed-end investment companies under the Securities Act.
United States
3 Apr 2019
SEC Commissioner Elad Roisman Recommends Agency Consider Proxy Guidance For Asset Managers
SEC Commissioner Elad Roisman recommended that the agency consider additional guidance for asset managers with respect to the use of proxy advisory firms.
United States
2 Apr 2019
FSOC Proposes Activities-Based Approach For Combating Systemic Risks
The Financial Stability Oversight Council ("FSOC") proposed an "activities-based approach" to address systemic risk issues. Under this approach, FSOC would identify, evaluate and address
United States
20 Mar 2019
MFA Cautions Against Requirement For Asset Managers To Include ESG Factors
In the end, perhaps the goal should be more modest.
United States
4 Mar 2019
Cadwalader Attorneys Analyze Delegation Requirements Under EU AIFMD Regime
Beginning in April 2020, depositaries under the EU Alternative Investment Fund Managers Directive ("AIFMD") ...
European Union
18 Feb 2019
EU To Require Insolvency Opinions In Relation To U.S. Sub-Custodians Under The EU AIFMD Regime
From April 2020 depositaries under the EU Alternative Investment Fund Managers Directive[1] ("AIFMD") ...
United States
14 Feb 2019
Cadwalader Adds Real Estate Finance Partner To London Office
Duncan Hubbard, a leader in advising financial institutions, funds and alternative lenders on European and U.S. real estate investments and structured finance transactions ...
United States
30 Jan 2019
Trade Groups Question Need For Global LEI System To Collect Fund Relationships
Accordingly, the associations commended the LEI ROC decision to make the disclosure of fund relationship structures optional.
United States
28 Jan 2019
STS: A New Age For European Securitisations
Following the financial crisis of 2007-2008, regulators across the globe turned their attention to the securitisation markets.
European Union
22 Jan 2019
Reg. Tracker: January 1 To January 15 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, compliance dates and expiration dates.
United States
17 Jan 2019
Reg. Tracker: January 1 To January 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, compliance dates and expiration dates. Click on the links below to view deadlines from January 1, 2019 to January 15, 2019.
United States
8 Jan 2019
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