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Searching Content indexed under Investment Strategy by Foley Hoag LLP ordered by Published Date Descending.
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1
Passive Business Rule
Small Business Investment Companies ("SBICs") are generally prohibited from investing in passive (i.e., non-operating) small businesses under the Small Business Investment Act of 1958...
United States
30 Oct 2017
2
DOL Provides Temporary Enforcement Relief On Fiduciary Rule
The U.S. Department of Labor issued a Field Assistance Bulletin (FAB 2017-01) on Friday, March 10, 2017 to address near-term compliance concerns relating to a proposed 60-day delay of the Fiduciary Rule.
United States
28 Mar 2017
3
Legal Perspectives On A "Game Changer" For Responsible Investment In The United States
The report builds upon an interpretative bulletin released by the U.S. Department of Labor in October 2015.
United States
24 Mar 2016
4
New DOL 408(b)(2) Rules Require Disclosures By Investment Managers To Their ERISA Plan Clients And To Any Funds They Manage Which Are Subject To ERISA: Deadline Is July 1, 2012
New regulations issued by the Department of Labor under ERISA Section 408(b)(2) require certain disclosures by investment managers to their ERISA clients of the fees and other compensation paid to the investment manager for services provided to such clients.
United States
14 Jun 2012
5
Afghanistan's Ban On Private Security Companies: What Are The Risks For Private Investors?
The month of March marked a key deadline in the compulsory -- but gradual -- transition from the use of private to public security forces in Afghanistan.
Afghanistan
13 Apr 2012
6
Massachusetts Secretary Of State Adopts New Regulations For Investment Advisers In Response To Dodd-Frank Act
The Massachusetts Securities Division has amended proposed rules relating to the regulation of investment advisers.
United States
6 Feb 2012
7
Investment Adviser Important Dates And Reminders - January, 2012
All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually.
United States
30 Jan 2012
8
Deadlines Loom For Advisers Required To Register Under Dodd-Frank Or Become An Exempt Reporting Adviser
Asset managers are reminded that The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") implemented a significant change in the approach taken under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), regarding the registration with the Securities and Exchange Commission (the "SEC") of advisers to unregistered funds.
United States
25 Jan 2012
9
Foley Hoag Venture Perspectives - January 2012
The Emerging Enterprise Center at Foley Hoag is the centerpiece of Foley Hoag’s long-standing and market-leading legal practice representing early-stage technology companies and their founders and investors.
United States
18 Jan 2012
10
Massachusetts Secretary Of State Proposes Amended New Regulations For Investment Advisers In Response To Dodd-Frank Act
The Massachusetts Securities Division has amended proposed rules relating to the regulation of investment advisers.
United States
18 Jan 2012
11
Massachusetts Securities Division Adopts Regulations For Use Of Expert Network Services By Investment Advisers
On August 8, 2011, the Massachusetts Securities Division (the "Division") adopted regulations regarding the use of expert network services by investment advisers in Massachusetts (regardless of whether the adviser is registered with the Division or exempt from registration). Under new 950 CMR 12.205(9)(c)(16), investment advisers in Massachusetts will be required to obtain a written certification before engaging an expert network service (the "Expert Network Rule").
United States
14 Nov 2011
12
Discussion Draft Bill Proposes SRO for Investment Advisers
On September 8, 2011, Representative Bachus (R-Ala.), Chairman of the House Financial Services Committee, introduced a discussion draft of the Investment Adviser Oversight Act of 2011 which proposes allowing a self-regulatory organization ("SRO") to oversee investment advisers.
United States
6 Oct 2011
13
Bulldog II: SJC Eliminates First Amendment Challenge To Securities Violations Found By The Massachusetts Securities Division
A decision by the Massachusetts Supreme Judicial Court ("SJC") on September 22, 2011, lays to rest the Secretary of the Commonwealth’s finding that a hedge fund manager, Bulldog Investors General Partnership ("Bulldog"), and its principals, violated the Massachusetts Securities Act through its operation of an interactive website that provided investment information to all visitors.
United States
4 Oct 2011
14
Reminder: Increased "Qualified Client" Dollar Amount Tests To Take Effect On September 19
On September 19, 2011, the Securities and Exchange Commission’s (the "SEC") increased dollar amount thresholds for "qualified clients" as defined under rule 205-3 of the Investment Advisers Act of 1940, as amended, will go into effect.
United States
19 Sep 2011
15
Massachusetts Securities Division Adopts Regulations Regarding The Charging Of Performance Based Fees By Investment Advisers
On August 8, 2011, the Massachusetts Securities Division (the "Division") adopted regulations regarding the charging of performance based fees by investment advisers (the "Performance Fee Rule".)
United States
19 Aug 2011
16
SBIC Exemption From SEC Registration Under Dodd-Frank Act
The SEC's final rules on the implementation of SEC registration requirements for investment advisers under the Investment Advisers Act of 1940, as recently modified by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), were published in the Federal Register and will become effective July 21, 2011 (the "Rules").
United States
20 Jul 2011
17
Massachusetts Tax Authorities Present Draft Directive on Trader vs. Investor Funds
The Massachusetts Department of Revenue has circulated a draft Directive setting forth the standards the Department proposes to impose for determining whether a professionally-managed fund is a "trader" or "investor" for Massachusetts personal income tax purposes.
United States
19 Jul 2011
18
Massachusetts Securities Division Releases Report On Investment Advisers’ Use Of Social Media; New Regulations Anticipated
On July 6, 2011, the Securities Division of The Office of the Secretary of the Commonwealth (the "Securities Division") released a report on the results of a social media survey it previously sent to Massachusetts-registered investment advisers.
United States
19 Jul 2011
19
SEC Issues Order Approving Adjustment to "Qualified Client" Dollar Amount Tests
An investment adviser registered with the Securities and Exchange Commission may only charge a performance fee with respect to "qualified clients."
United States
19 Jul 2011
20
Content With Content? Some Thoughts On Blogs And A Term Sheet
My blogger friends (and the firm's blogger consultants), indeed, it seems the entire blogosphere seems to agree that blogs are not really an optimal publication platform for dissemination of pure content. I take that to mean that putting law review articles (or any substantive articles on legal (or other) topics) is really not what blogs are "about."
United States
13 Jul 2011
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