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Carlton Fields

Everyday Investor Participation in Private Strategies: What Role for Investor Advocate in SEC Drama?

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The SEC is under pressure to increase direct or indirect participation by everyday “retail” investors (consisting primarily of those who do not qualify as “accredited investors” under SEC Regulation D) in certain investment...more

Cadwalader, Wickersham & Taft LLP

Midyear Look: Retail Capital Rising, July 2025 - Retail Investors: Challenges and Opportunities in Subscription Finance

The growth of High Net Worth Individual (“HNWI”) allocations to alternative investments is a hot topic in fund finance. In what is widely acknowledged to be a challenging fundraising environment, fund managers have focused...more

Mayer Brown Free Writings + Perspectives

Growth of Permanent Capital Vehicles Expected to Accelerate

In recent years, private non-bank lending to private equity-owned, small- and middle-market companies has increased significantly.  According to a report from the Loan Syndications and Trading Association (LSTA) detailing...more

Alston & Bird

Structured Finance Spectrum – Winter 2025

Alston & Bird on

Welcome to the latest edition of the Spectrum, covering hot-topic issues in the structured finance markets in the U.S. and UK. This edition features a close look at business development companies, an introduction to project...more

Proskauer Rose LLP

SEC Acting Chair Remarks on Private Capital-Raising and Retail Access to Private Companies

Proskauer Rose LLP on

In recent remarks at the Florida Bar's 41st Annual Federal Securities Institute and M&A Conference on February 24, 2025, SEC Acting Chair Mark Uyeda outlined his agenda for what he called a "return to normalcy" at the SEC. If...more

A&O Shearman

Navigating the Retail Investment Strategy Directive

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The Retail Investment Strategy Directive (“RISD”) aims to enhance investor protection in order to foster retail investors' participation to the financial market and improve overall market efficiency. By ensuring that...more

Walkers

Global Legal Insights FinTech 2024: Ireland chapter

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The Irish government has been supportive of the development of the financial services sector in Ireland and this extends to fintech. The government’s strategy for the development of Ireland’s international financial services...more

Hogan Lovells

ELTIF 2.0 – Revolutionising the European Investment Market

Hogan Lovells on

On 10 January 2024, Regulation (EU) 2023/606 amending Regulation (EU) 2015/760 as regards the requirements pertaining to the investment policies and operating conditions of European long-term investment funds and the scope of...more

Stikeman Elliott LLP

International Comparative Legal Guide – Alternative Investment Funds 2023: Canada

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1 Regulatory Framework - 1.1 What legislation governs the establishment and operation of Alternative Investment Funds? In Canada, the term “alternative investment fund” or AIF is not a term of art. Canadian...more

A&O Shearman

New law modernising Luxembourg investment funds takes effect

A&O Shearman on

On 28 July 2023, the law of 21 July 2023, which modernises the laws governing UCITS, Part II UCIs, SIFs, SICARs, RAIFs and Luxembourg asset managers, enters into force (the Law). ...more

Walkers

Adoption of the European Commission's retail investment strategy

Walkers on

On 24 May 2023, the European Commission (the "Commission") adopted and published its retail investment strategy ("RIS") a key tenet of its Capital Markets Union Action Plan (the "CMU Action Plan"). One of the core objectives...more

Cadwalader, Wickersham & Taft LLP

EU Publishes Final Text of ELTIF Regime

The EU has published its final text for the proposed revision of the European Long-Term Investment Fund ("ELTIF") regime by means of the European Long-Term Investment Funds Regulation....more

Skadden, Arps, Slate, Meagher & Flom LLP

Closed-End Fund Activists Seeking Above-NAV ‘Liquidity Event’ Terms

On October 13, 2021, Templeton Global Income Fund (GIM) announced that its Board of Trustees (Board) approved an issuer tender offer for 70% of its issued and outstanding common shares at a price per share equal to 99% of...more

Jones Day

German Regulator Combats Greenwashing by Proposing Guidelines on "Sustainable" Investment Funds

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The German Federal Financial Supervisory Authority ("BaFin") has published a consultation on draft guidelines for sustainable investment funds containing specifications on what UCITS and AIF management companies must include...more

Skadden, Arps, Slate, Meagher & Flom LLP

Proposed Legislation Seeks To Prevent Regulatory Limitations on Closed-End Fund Investments in Private Funds

The Increasing Investor Opportunities Act (IIOA), introduced on November 19, 2020, by U.S. Representative Anthony Gonzalez (R-OH), aims to expand closed-end fund participation in private funds. The IIOA, among other things,...more

Herbert Smith Freehills Kramer

SEC Accredited Investor Proposal Could Yield New Product Opportunities for Private Fund Managers

On Dec. 18, 2019, the Securities and Exchange Commission (SEC or Commission) proposed amendments to broaden the definition of “Accredited Investor” under Regulation D to cover a broader group of investors, including adding...more

Herbert Smith Freehills Kramer

SEC Investor Advisory Committee Discusses Blockchain’s Effect on Markets

The effect of Bitcoin on securities markets and enhanced measures related to retail investors were the focus at the October meeting of the Securities and Exchange Commission’s (SEC) Investor Advisory Committee (Committee)....more

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