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Investment Management › Jurisdiction

Walkers

The future of family offices: Evolving needs, enduring structures

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Across the globe, second and third generations are inheriting significant wealth and with it, the opportunity to professionalise how their family manages, governs and grows that wealth. Many are establishing dynamic,...more

Walkers

Setting up shop: A new manager's guide to establishing an investment management firm in Guernsey

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Looking to establish an investment management firm in the Channel Islands? This guide outlines the key considerations and requirements for setting up your business in one of the world's leading financial jurisdictions,...more

Allen Matkins

Does The SEC's Jurisdiction Really Extend To Any Person?

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Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. ...more

Walkers

Taking a Closer Look at the Law Relating to the Appointment of Inspectors

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Synopsis In the matter of Avivo Group (Cause No. FSD 145 of 2022 (RPJ)), Walkers, instructing Ms Clare Stanley KC of Wilberforce Chambers, acted as Cayman Islands counsel to Avivo Group (the ‘Company’) in respect of its...more

K&L Gates LLP

CFTC and SEC Perspectives on Cryptocurrency and Digital Assets – Volume I: A Jurisdictional Overview

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I. Introduction - The rise of cryptocurrencies and digital assets in the financial markets, including the investment management industry, has given rise to a crucial question: which federal regulator - the Securities and...more

Carlton Fields

Multiple Plaintiffs Take Shot at SEC Regulation Best Interest

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The Securities and Exchange Commission’s Regulation Best Interest faces a bumpy road in the wake of recent lawsuits challenging the appropriateness and effectiveness of the rule....more

Carlton Fields

Ninth Circuit Considers Jurisdiction To Hear Appeal Of Decision Vacating Arbitration Award And Remanding For A New Arbitration

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The Ninth Circuit has found that it had jurisdiction to hear an appeal of a district court decision vacating an arbitration award and remanding the case for a new arbitration....more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 29

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SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting - On July 29, the Securities and Exchange Commission, pursuant to a “Sunshine Act” notice, stated that it will hold an open meeting on...more

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