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Investment Management › Federal Trade Commission (FTC)

Cooley LLP

Antitrust Regulators Provide Guidance About When Shareholder Engagement Might Become An Issue

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I’m not well-versed in antitrust law – nor do I want to be – but this recent FTC/DOJ Statement of Interest from the antitrust lawsuit filed by the State of Texas against BlackRock, State Street and Vanguard bears on...more

Baker Botts L.L.P.

Antitrust Scrutiny of Investors Under a New Administration

Baker Botts L.L.P. on

Under the old guard of the prior administration, private equity was repeatedly under fire for alleged “flip and strip” tactics that were supposedly “at odds with competition.” Now, with new enforcers in place, a different...more

Akerman LLP

Antitrust Concerns About ESG Investing Are Not Going Away

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For the last several years, investor activism to further environmental, social, and governance (ESG) goals has faced significant antitrust scrutiny in the United States. This scrutiny reached a new level in June 2024 when the...more

Carlton Fields

Expect Focus - Volume IlI, September 2024

Carlton Fields on

Gone With the Wind? Closed-End Funds Risk Extinction - Shares of SEC-registered closed-end funds (CEFs) have long held significant potential advantages for some investors. For example, unlike shares of mutual funds...more

Hinch Newman LLP

FTC Defense Attorney on Ecommerce Investment Management Provider Legal Regulatory Considerations

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It is no secret amongst digital advertisers and FTC practice defense counsel that the Federal Trade Commission and state attorneys general continue to aggressively investigate and prosecute those that advertise, market,...more

K&L Gates LLP

Proposed Amendments to Hart-Scott-Rodino Act Regulations Could Dramatically Expand Filing Obligations of Investment Managers

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The Federal Trade Commission (FTC) recently announced its intent to publish a Notice of Proposed Rulemaking (NPRM)1 amending its rules under the Hart-Scott-Rodino Antitrust Improvements Act (HSR Act)....more

A&O Shearman

Proposed HSR Rules Affect Investment Firms/Master Limited Partnerships and Minority Acquisitions

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The U.S. Federal Trade Commission (FTC) and U.S. Department of Justice Antitrust Division (“DOJ” and collectively, the “Agencies”) recently proposed changes to two aspects of the Hart-Scott-Rodino Act (“HSR Act”). The...more

Akin Gump Strauss Hauer & Feld LLP

Updated: The Practical Impact of the Government Shutdown for Private Parties

Akin Gump Strauss Hauer & Feld LLP on

The new 116th Congress convened on Thursday, January 3, 2019 as the partial government shutdown, carrying over from the prior Congress, continued into the new year and has now outlasted previous shutdowns. Although the...more

Goodwin

Financial Services Weekly News - January 2017 #2

Goodwin on

Editor's Note - In This Issue.The SEC and FINRA released their examination priorities for 2017; the SEC’s Division of Investment Management issued an interpretative letter that would permit brokers to charge their own...more

Proskauer Rose LLP

When Passive Investors Take a Stand – HSR Act Enforcement Put to the Test

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Enforcement actions for violations of the Hart-Scott-Rodino Act (HSR) often are announced with substantial money penalties or other restrictions agreed in advance between the agency and the parties. Not so with the Department...more

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