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Investment Portfolios Regulatory Requirements

Jones Day

CFTC Divisions Interpret "U.S. Person" Definition and U.S. Location Versus Foreign Location

Jones Day on

A 2024 CFTC enforcement action settlement that may have introduced a new test for when the Commodity Exchange Act and the agency's regulations apply on a cross-border basis concerned then-CFTC Commissioner and now Acting CFTC...more

Mayer Brown Free Writings + Perspectives

What’s The Deal? - Interval and Tender Offer Funds

Here’s the deal: Interval funds and tender offer funds are registered closed-end funds that may continuously offer their shares at net asset value (“NAV”) to an unlimited number of investors....more

Charles E. Rounds, Jr. - Suffolk University...

Individual Trustee Delegates to Financial Institution the Job of Taking Custody and Keeping Track of Income and Principal: The...

While PC software programs are a practical improvement over the trustee’s hard-copy ledger book, when it comes to keeping track of trust income and principal these programs still require serious clerical monitoring on the...more

Carey Olsen

Cayman Islands investment funds

Carey Olsen on

Over the past 25 years, the Cayman Islands has become a pre-eminent jurisdiction for the formation of alternative investment funds, with around 13,000 regulated open-ended funds and 16,000 regulated closed-ended funds. The...more

SEC Compliance Consultants, Inc. (SEC³)

How Much Testing is Enough?

Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more

Conyers

ケイマン諸島プライベートエクイティ/ベンチャーキャピタル/不動産ファンドの設立

Conyers on

ファンドの 投資家 がファンドに対して償還 請求権を有するオープンエンド型ファンドは、 流動性 のある 資産に投資するヘッジファンド等ファンド に適している一方、プライベートエクイティ、ベンチャーキャピタル、不動産等の非流動資産に投資するファンドは、投資が実現するまでにより多くの時間を必要とし、クローズドエンド型ストラクチャーが適しています。...more

McDermott Will & Schulte

[Webinar] Deal Academy 2020 | Immobilien Deals in Krisenzeiten - October 28th, 10:00 am - 11:00 am CET

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Wir laden Sie auch in diesem Jahr wieder herzlich zu unserer McDermott Deal Academy ein – 2020 als interaktives Online-Seminar. Mit unseren Experten aus den Bereichen Real Estate, Regulatory und Restructuring wollen wir...more

McDermott Will & Schulte

[Webinar] Deal Academy 2020 | Real Estate Deals in Times of Crisis - October 28th, 10:00 am - 11:00 am CET

McDermott Will & Schulte on

We cordially invite you to our McDermott Deal Academy again this year - in 2020 as an interactive online seminar. We want to discuss current developments in real estate transactions and their structuring with our experts from...more

Carlton Fields

SEC Proposes New Rule Impacting ETFs

Carlton Fields on

On June 28, the SEC proposed new rule 6c-11 to allow open-end exchange-traded funds that satisfy certain conditions to operate without obtaining an SEC exemptive order. The proposed rule would apply to open-end ETFs, but...more

Downs Rachlin Martin PLLC

Captive Insurance Update | Issue No. 2 | 2018 - A summary of state and federal developments in the captive insurance industry

Vermont's Leadership Team - Vermont’s leadership team largely stayed the course in 2017. Governor Phil Scott and Michael Pieciak, the Commissioner of the Department of Financial Regulation (the “DFR”), each completed a...more

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