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DarrowEverett LLP

SEC Could Broaden Path to Private Equity Fund of Funds Investment

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Since the enactment of the Investment Company Act 85 years ago, the asset management industry has grown from $2 billion in assets to more than $39 trillion in assets. Under existing Securities and Exchange Commission (“SEC”)...more

Ropes & Gray LLP

Final Call for Evidence on the shape of SFDR

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Following the public and targeted consultation on SFDR launched in 2023 (the “Consultations”) and the anticipated publication of the new proposals in Q4 this year, the European Commission is providing the broader market with,...more

Fenwick & West LLP

Study Suggests That Investors View ESG as a Luxury Item

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Stanford Business recently posted an interesting article describing the results of a three-year study conducted to analyze American retail investors' attitudes toward environmental, social, and governance (ESG) issues....more

Alston & Bird

Investment Management, Trading & Markets Updates – October 2020

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SEC Proposes Streamlined Shareholder Reports for Retail Investors - On August 5, 2020, the Securities and Exchange Commission (SEC) announced a proposal to modify the mutual fund and exchange-traded fund (ETF) disclosure...more

Goodwin

Financial Services Weekly Roundup: SEC Proposes Modified Disclosure Framework For Funds

Goodwin on

In the News. The Securities and Exchange Commission (SEC) proposed modifying the disclosure framework for mutual funds and exchange-traded funds (funds), which would create a new layered disclosure regime that attempts to...more

K&L Gates LLP

Distribution of Mutual Fund Shares and Fund Advertising: 2019 Washington D.C. Investment Management Conference

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MUTUAL FUND DISTRIBUTION – TODAY’S AGENDA - - Multiple Distribution Channels - Methods of Compensating for Distribution and/or Services - Sales Loads - Rule 12b-1 Fees/Service Fees - Revenue Sharing - Sub-transfer...more

King & Spalding

Regulation Best Interest: Updates and Developments

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It’s been nearly five months since the Securities and Exchange Commission (“SEC”) approved Regulation Best Interest: The Broker-Dealer Standard of Conduct (“Reg BI”). As discussed in our June 27, 2019 Client Alert, Reg BI...more

Perkins Coie

Blockchain Week in Review - September 2019

Perkins Coie on

U.S. Developments - VanEck and SolidX to Offer Bitcoin ETF to Qualified Institutional Buyers - On September 3, 2019, VanEck Securities Corp. and SolidX Management LLC announced that they are seeking to use Rule 144A of...more

Faegre Drinker Biddle & Reath LLP

Seven States and D.C. Aggressively Challenge Reg BI

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On September 9, 2019, the states of New York, California, Connecticut, Delaware, Maine, New Mexico and Oregon, and the District of Columbia (collectively, the States) filed a complaint for declaratory and injunctive relief...more

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