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IRS Releases Second Set Of Proposed Regulations Regarding Qualified Opportunity Funds
On April 17, the IRS issued proposed regulations that provide new guidance for investors seeking to invest in qualified opportunity funds (each, a QOF), a new investment program designed to incentivize long-term investment ...
United States
24 Apr 2019
FERC Final Rule Narrows And Clarifies Filing Requirements For Applicants And Holders Of Interlocking Positions
The Federal Energy Regulatory Commission final rule amending its regulations related to the FERC filing and notice requirements for officers and directors to hold interlocking positions has been published in the Federal Register
United States
14 Mar 2019
IRS Releases Proposed Regulations On Qualified Opportunity Zones
The IRS also issued a revenue ruling and a new form in connection with this regime.
United States
8 Nov 2018
As Fund Managers Await Regulations, Key Questions Surface With Qualified Opportunity Funds
As part of the Tax Cuts and Jobs Act, signed into law by President Trump on December 22, 2017, Congress introduced new tax incentives designed to encourage long-term investments in low-income American communities.
United States
4 Oct 2018
Donor Advised Funds Spark Ongoing Debate
Over the past few decades, donor advised funds have become a significant avenue for charitable giving and are increasingly marketed as an attractive alternative to establishing private foundations.
United States
5 Oct 2016
SEC Proposes RIA Succession Requirements
If a client's portfolio manager dies or abruptly retires, who will be in charge of the client's money, and what will happen to the practice the client has relied on?
United States
6 Jul 2016
Family Office Structuring And Operating Pitfalls: Observations From The Field
Family offices that meet certain criteria are excluded from registration with the U.S. Securities and Exchange Commission ("SEC") as an investment adviser ("Family Office Exclusion").
United States
16 Sep 2015
‘Till Death Do Us Part? Second Circuit Affirms Validity Of Posthumous QDROs
In 2009, Mr. Nicholls married Barbara Nicholls. Mr. Nicholls died on February 11, 2012, and at the time of his death, Barbara, his surviving spouse, was the named beneficiary to each of the pension plans.
United States
8 Jul 2015
Supreme Court Ruling In 401(K) Fee Case Extends Statute Of Limitations For Breach Of Fiduciary Duty Claim
The Employee Retirement Income Security Act of 1974, as amended ("ERISA"), provides that an ERISA fiduciary must discharge his responsibility with the care, skill, prudence, and diligence...
United States
12 Jun 2015
"Custody Rule" Information Delays Lead To Enforcement Against Investment Advisers
SEC enforcement actions have moved out of the realm of punishing wrongdoers for harm caused and into preemptive measures.
United States
6 Nov 2014
Preventing Another Madoff: SEC Adopts New Custody Rules For Broker-Dealers
On July 30, the Securities and Exchange Commission (SEC) announced new investor protection rules requiring broker-dealers that have custody of customer securities and funds to file an annual report attesting to their compliance with the broker-dealer financial responsibility rules, as well as a quarterly report (Form Custody) discussing their custody practices.
United States
2 Nov 2013
FINRA Proposes Rules to Illuminate "Dark Pools"
he Financial Industry Regulatory Authority (FINRA) filed a rule proposal with the Securities and Exchange Commission (SEC or the Commission) on September 30 that would impose reporting requirements on alternative trading systems (ATSs), including dark pools.
United States
15 Oct 2013
Beyond A Culture of Compliance: Securities Regulators Emphasize Disclosure
Recent statements by securities regulators emphasize that financial firms need to move beyond a "culture of compliance" to ensure that investors have a better understanding of risk and the investments they are purchasing.
United States
30 May 2013
SEC and CFTC Mandate Strict Identity Theft Prevention Compliance
On April 10, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) (together, the Commissions) jointly adopted rules and guidelines that require certain entities subject to their enforcement authorities to develop compliance programs to protect investors from identity theft.
United States
16 Apr 2013
Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund Managers
The Securities and Exchange Commission (SEC) is cracking down on private fund [1] managers for not using registered broker-dealers for fundraising.
United States
13 Apr 2013
The SEC's National Examination Program Identifies Significant Deficiencies Involving Adviser Custody And Safety Of Client Assets
On March 4, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission ("SEC") issued a Risk Alert on investment adviser custody and related matters.
United States
17 Mar 2013
New Jersey "Angel" Tax Credit Seeks To Spur Emerging Technology Investment
"Angel" investors can receive a new tax credit for investments in New Jersey emerging technology companies.
United States
15 Feb 2013
CFTC No-Action Relief For Funds-Of-Funds
The Commodity Futures Trading Commission recently issued a No-Action Letter that provides relief to advisers to funds-of-funds.
United States
12 Dec 2012
Updated SEC Guidance On The Family Office Exclusion
Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.
United States
18 Apr 2012
Newly Adopted Fund Manager Reporting Obligations
On October 26, 2011, the Securities and Exchange Commission (the "SEC") adopted new Rule 204(b)-1 under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), which requires certain federally registered investment advisers that serve as managers to hedge funds and private equity funds to make periodic filings on new Form PF with the SEC.
United States
9 Nov 2011
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