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Goodwin

Further easing the US-UK Divide: Extending the Buy-Side Investment Research Rules to Fund Managers

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In our previous alert Paying for Buy-Side Investment Research: New Rules Ease the US-UK Divide | Insights & Resources | Goodwin we discussed the Financial Conduct Authority (FCA) final rules in its policy paper PS24/9:...more

A&O Shearman

Great Fund Insights: ELTIF Regulation: consolidated text including ELTIF 2.0

A&O Shearman on

The ELTIF-RTS, the final piece of the puzzle for the ELTIF framework, have been published in the Official Journal on October 25, 2024 and entered into force on October 26, 2024. This marks the end of a long and complex...more

Troutman Pepper Locke

SBA’s New Rules and Policies to Strengthen and Diversify Its SBIC Program

Troutman Pepper Locke on

A small business investment company (SBIC) is a privately owned and operated investment fund that makes long-term investments in American small businesses and is licensed by the U.S. Small Business Administration (SBA). SBICs...more

Goodwin

Private Funds Rules Set to Be Adopted - What to Watch For

Goodwin on

The SEC (U.S. Securities and Exchange Commission) has provided notice that it is preparing to adopt the so-called “Private Funds Rules” under the Investment Advisers Act of 1940 (the “Advisers Act”) on August 23, 2023....more

Goodwin

SEC Updates Regulatory Framework For Good Faith Determinations Of Fair Value

Goodwin on

On December 3, 2020, the U.S. Securities and Exchange Commission (the “SEC”) voted to adopt new Rule 2a-5 (the “Fair Value Rule”) under the Investment Company Act of 1940 (the “1940 Act”), which addresses the valuation...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Adopts New Rule for Fund of Fund Arrangements

Skadden, Arps, Slate, Meagher & Flom LLP on

On October 7, 2020, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Final Rule or Rule 12d1-4) under the Investment Company Act of 1940 (1940 Act) in an effort to streamline and enhance the regulatory...more

Mayer Brown Free Writings + Perspectives

BDCs Benefit from the SEC’s New Fund of Funds Rule

Mayer Brown Free Writings + Perspectives on

On October 7, 2020, the Securities and Exchange Commission (“SEC”) adopted a new rule designed to streamline and enhance the regulatory framework for funds that invest in other funds (“fund of funds arrangements”).  The new...more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

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