Popular, Asset Management, Investors

SEC Could Broaden Path to Private Equity Fund of Funds Investment

DarrowEverett LLP on 7/14/2025

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

Antitrust Scrutiny of the ‘Big Three’ Asset Managers’ ESG Policies Heats Up

Cooley LLP on 5/30/2025

As noted in this WSJ article, the Department of Justice and Federal Trade Commission recently raised concerns in a “joint statement of interest” that large asset managers – including the “Big Three” of BlackRock, Vanguard and...more

The Texas v. Blackrock ESG Case: The FTC and DOJ Have Entered the Chat

Axinn, Veltrop & Harkrider LLP on 5/29/2025

On May 22nd, the Department of Justice (“DOJ”) and Federal Trade Commission (“FTC”) filed a joint Statement of Interest in a case against several prominent asset managers brought last year by the Texas Attorney General. In...more

Regulation Round Up - February 2025

Proskauer Rose LLP on 3/10/2025

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

A New Sustainable Investment Framework for the EU? ESMA’s Latest Opinion

Goodwin on 7/26/2024

Those who have had to navigate and consider the EU Sustainable Finance Disclosure Regulation (SFDR) have faced its challenges and noted its deficiencies. Specifically, these have included data gaps, the SFDR’s use as a...more

[Podcast] Private Market Talks Episode 9: Demystifying ESG Benchmarking with Novata’s Alex Friedman

Proskauer - Private Market Talks Podcast on 6/21/2023

In this episode of Private Market Talks, CEO and co-founder of Novata, Alex Friedman helps contextualize the evolving conversation around ESG and demystifies how companies and their investors assess ESG compliance and goals....more

To Change or Not To Change: FCA Considers Updates to the UK Regulatory Regime for Asset Management

Skadden, Arps, Slate, Meagher & Flom LLP on 3/8/2023

On 20 February 2023, the UK’s Financial Conduct Authority (FCA) released a discussion paper titled “Updating and Improving the UK Regime for Asset Management” (Discussion Paper), seeking industry feedback on potential changes...more

Taxation of Bitcoin, Ether, Litecoin and Co.: Taxable income for cryptocurrencies – but still, private investors can breathe a...

Morrison & Foerster LLP on 5/18/2022

After a year of wrangling, the German Federal Ministry of Finance (BMF) has finally published explanations on how virtual currencies (e.g., Bitcoin, Ether, Litecoin and Co.) and other tokens (hereinafter: cryptocurrencies)...more

Fintech 2020: A Global Survey on the State of Financial Technology

Goodwin on 9/16/2020

Letter from Our Co-Chairs - As the digital transformation of financial markets accelerates at breakneck speeds, fintech presents significant opportunities and challenges for both investors and innovators around the world. ...more

SEC Risk Alert Highlights on COVID-19-Related Compliance Risks and Considerations for Investment Advisers and Broker-Dealers

Akin Gump Strauss Hauer & Feld LLP on 8/21/2020

- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more

Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives

Eversheds Sutherland (US) LLP on 3/2/2020

Asset managers will need to consider how FinTech developments impact their business model in 2020, including developments related to digital asset securities, cryptocurrency-based ETFs and blockchain. In this Bottom Line...more

Big Three Investors Announce 2020 Priorities

King & Spalding on 2/24/2020

BlackRock, Vanguard, and State Street Global Advisors are the world’s three largest asset managers, collectively representing over $16 trillion in AUM, including 81% of all ETF assets. These “Big Three” investors collectively...more

Fund-to-Fund Transfers on the Rise as Deal Flow Slows

Latham & Watkins LLP on 12/9/2019

Negotiating market price, fund economics, management and other investors, documents, and approvals are key to leveraging fund-to-fund transfers. Following significant fundraising activity, sponsors have substantial capital...more

In Principle: 10 Things Authorised Firms Need to Know for 2018 – The World of Financial Regulation as the UK Prepares to Exit the...

Akin Gump Strauss Hauer & Feld LLP on 1/25/2018

There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more

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