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Searching Content indexed under Investment Strategy by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
IOSCO Defends 2018 Liquidity Risk Management Recommendations
IOSCO defended its 2018 Liquidity Risk Management ("LRM") recommendations for investment funds against recent criticism, reasserting
United States
26 Jul 2019
2
Trade Associations Propose Revisions To FRB Proposal On "Control" Rules
The ABA, SIFMA and the IIB made recommendations regarding a proposal (the "proposal") by the FRB to modify its regulations for determining "whether a company has the ability to exercise a controlling influence"...
United States
24 Jul 2019
3
Commission Interpretation – Standard Of Conduct For Investment Advisers
The Securities and Exchange Commission (the "SEC") on June 5, 2019 released an interpretation of the standard of conduct required by the Investment Advisers Act of 1940 (the "Advisers Act") of investment advisers as fiduciaries to their clients.
United States
11 Jul 2019
4
Shareholder Engagement With UK Companies – Proposed Changes To The Stewardship Framework
Two UK regulatory bodies are currently consulting on rules relating institutional shareholders' engagement with and stewardship of their investee companies.
UK
20 Mar 2019
5
IOSCO Urges Issuers To Disclose ESG Matters To Investors
IOSCO urged issuers to address environmental, social and governance ("ESG") matters in disclosures to investors.
United States
25 Jan 2019
6
SEC Offers Four-Year Strategic Plan
The SEC outlined how it intends to adapt to evolving financial markets and technologies in a new report, Strategic Plan for 2018-2022.
United States
17 Oct 2018
7
ICI Opposes Measures To Restrict Common Ownership By Institutional Investors
The Investment Company Institute ("ICI") urged the Federal Trade Commission ("FTC") and other authorities not to restrict common ownership in competing companies by institutional investors or remove the shareholder rights of the clients of investment advisers who manage such investments.
United States
29 Aug 2018
8
SEC Updates Guidance On "Robo-Advisors"
The SEC Division of Investment Management (the "Division") updated guidance on automated advisers (or "robo-advisors") that provide services directly to clients over the internet.
United States
7 Mar 2017
9
CFTC Reconciles No Action Relief With SEC Amendments To Money Market Fund Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") issued an advisory on the practical implementation of no-action relief for investments in money market funds ("MMFs").
United States
1 Nov 2016
10
MiFID And MiFIR On Supervision Of Products - And - Circuit Breakers
This is the fifth in our series of briefings on MiFID and MiFIR. Below, we describe new powers of product intervention granted to ESMA and local regulators under MiFIR and new obligations set out in MiFID for regulated markets to have in place measures to ensure systems' resilience, including circuit breakers and controls over algorithmic trading.
UK
1 Nov 2011
11
MiFID And MiFIR On The Obligation To Trade Derivatives On Regulated Markets And Revisions To The Best Execution Regime
This is the second in our series of briefings on MiFID and MiFIR. Below, we describe new obligations to trade certain derivatives on regulated markets, MTFs or OTFs and the Commission's proposals for the best execution regime.
European Union
30 Oct 2011
12
Investment In Alternative Energy After The End Of Cash Grants
The cash grant program for renewable energy expires at the end of this year.
United States
19 Sep 2011
13
Understanding The VIE Structure: Necessary Elements For Success And The Legal Risks Involved
The "variable interest entity" structure (the "VIE Structure") has been the investment structure of choice for foreign investors to navigate through the grey areas of PRC law on foreign direct investment ("FDI") for over a decade.
China
30 Aug 2011
14
The Hiring Incentives to Restore Employment Act
On Thursday, March 18, President Obama signed into law H.R. 2847, the Hiring Incentives to Restore Employment Act (the "Act" or the "HIRE Act").
United States
26 May 2010
15
The FDIC’s Statement Of Policy On Qualifications For Failed Bank Acquisitions
The Board Of Directors of the Federal Deposit Insurance Corporation (“FDIC”) has adopted its final Statement of Policy on Qualifications for Failed Bank Acquisitions (the “Acquisition Policy Statement”) by a 4-1 vote.
United States
4 Nov 2009
16
Private Equity Investments In Troubled Banks
There has been increasing pressure on banks to increase their equity capital levels (and decrease their leverage ratio) in response to losses caused by declines in asset values.
United States
27 Oct 2009
17
Enforcement Pipeline: Insider Trading And Hedging Pipes
Recently, the Staff of the SEC’s Division of Enforcement has indicated a reinvigorated interest in and focus on insider trading and hedge fund activities.
United States
 
29 Nov 2007
18
Final Amendments to U.S. Department of Labor Exemption (PTE 84-14) from Prohibited Transaction Rules of the Employee Retirement Income Security Act of 1974 ("ERISA")
On August 23, 2005, the U.S. Department of Labor (the "DOL") published in final form important amendments to Prohibited Transaction Exemption ("PTE") 84-14 (the "QPAM Exemption"), dealing with transactions entered into by qualified professional asset managers ("QPAMs") on behalf of benefit plans regulated under ERISA.
United States
25 Aug 2005
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