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Holland & Knight LLP

Superintendencia Financiera de Colombia busca fortalecer la liquidez en mercados de capitales

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Por medio del Proyecto No. 15 de 2025 la Superintendencia Financiera de Colombia (SFC), dio a conocer, para comentarios del público, la normativa con la cual busca impartir instrucciones para fortalecer la liquidez de los...more

Stinson LLP

SEC Proposes New Rules for Private Investment Funds

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On February 9, 2022, the SEC proposed new rules and amendments under the Investment Advisers Act of 1940 to regulate the $18-trillion private fund market. ...more

Goodwin

SEC Proposes New Round of Money Market Fund Reforms

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In This Issue. The U.S. Securities and Exchange Commission (SEC) voted to propose money market fund reforms; the SEC also proposed amendments to Rule 10b5-1 trading plans and to modernize and improve share repurchase...more

Goodwin

CFPB Releases New Compliance Aid

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In This Issue. The Consumer Financial Protection Bureau (CFPB) released a new Compliance Aid; the U.S. Securities and Exchange Commission (SEC) proposed amendments to Form N-PX with the goal of making it easier and more...more

ArentFox Schiff

Investigations Newsletter: Where’s the Beef? Two Charged with $650 Million Cattle Ponzi Scheme

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Where’s the Beef? Two Charged with $650 Million Cattle Ponzi Scheme - On May 12, the Department of Justice (DOJ) announced that a federal district court in Colorado unsealed an indictment alleging that two individuals ran...more

Goodwin

OCC Grants National Trust Bank Charter to Third Cryptocurrency Firm

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In This Issue. The Office of the Comptroller of the Currency (OCC) granted preliminary conditional approval to a third cryptocurrency firm chartering a national trust bank; the Consumer Financial Protection Bureau (CFPB)...more

Goodwin

SEC Adopts Broad Exempt Offering Reforms

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In the News. The Securities and Exchange Commission (SEC) adopted broad exempt offering reforms; the Department of Labor (DOL) finalized a rule, with significant revisions from the original proposal, on ESG investments; the...more

Sheppard Mullin Richter & Hampton LLP

Tell Me More – Antitrust Agencies to Demand More Information from Investment Funds

The Federal Trade Commission (“FTC”) recently issued a notice of proposed rulemaking to amend the premerger notification rules (the “Rules”) that implement the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the “HSR...more

Goodwin

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

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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

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes To Raise Form 13F Reporting Threshold From $100 Million to $3.5 Billion

On July 10, 2020, the Securities and Exchange Commission (SEC) voted 3-1 to approve proposed rules that, among other things, would raise the Form 13F reporting threshold for institutional investment managers (managers) from...more

Goodwin

Financial Services Weekly Roundup: New Rules, Amendments And More Amid Coronavirus Outbreak

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In This Issue. The ongoing global outbreak of the coronavirus (COVID-19) continues to grow in scale and scope. In response, federal financial regulators are continuing efforts to bring regulatory relief to promote stability...more

Vedder Price

SEC Re-Proposes New Rule Governing Funds’ Use of Derivatives

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On November 25, 2019, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) re-proposed a new exemptive rule under the Investment Company Act of 1940, as amended (the “1940 Act”)—Rule 18f-4 (the...more

Vedder Price

SEC Proposes Amendments to Financial Reporting Rules for Business Combination Transactions Involving Investment Companies

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On May 3, 2019, the SEC issued a proposal to amend certain rules and forms relating to required financial disclosures in business combination transactions involving investment companies. First, the proposal would...more

Mayer Brown Free Writings + Perspectives

SEC Seeks Public Comment to Improve Exempt Offering Process

On June 18, 2019, the Securities and Exchange Commission (the “SEC”) issued a concept release requesting public comment on ways to simplify, harmonize and improve the exempt offering process to expand investment opportunities...more

Farella Braun + Martel LLP

Legal Ins and Outs of ‘Opportunity Zones’ — so Far

A new tax incentive intended to stimulate investment in low-income communities known as opportunity zones has attracted significant attention from investors, developers, and business owners since its enactment under Section...more

White & Case LLP

SEC Proposes Changes to Financial Disclosure Relating to Business Acquisitions and Dispositions

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On May 3, 2019, the Securities and Exchange Commission (the "SEC") proposed amendments to its rules governing disclosure of financial statements by public companies or in initial public offerings ("IPOs") in connection with...more

Womble Bond Dickinson

New Opportunity Zone Regulations Provide Clarity on Open Issues for Investors

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On April 17th, 2019, the U.S. Treasury Department (the “Treasury”) and the IRS issued a second set of long-awaited proposed regulations relating to Opportunity Zone (“OZ”) tax incentives. The OZ program was established by...more

Jones Day

Treasury Issues Guidance Clarifying Aspects of Opportunity Zone Program

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Much-anticipated specifics should spur investment in new program. The U.S. Treasury Department on October 19, 2018, released proposed regulations and a revenue ruling concerning the Opportunity Zone program, which was...more

Akin Gump Strauss Hauer & Feld LLP

Financial Conduct Authority’s Asset Management Review – Authorised Funds Shake Up

On 28 June 2017, the Financial Conduct Authority (FCA) published the Asset Management Market Study Final Report (the “Asset Management Review”) as well as a Consultation Paper setting out some proposed changes to the FCA’s...more

Cooley LLP

Blog: FCA review of crowdfunding & peer-to-peer lending rules – change and enforcement likely to follow

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The FCA has published a “Call for input to the post-implementation review of [its] crowdfunding rules“. Some will think this is code for “move along please, there’s nothing to see here” – and that would be understandable. But...more

WilmerHale

FinCEN Proposes AML Requirements for Registered Investment Advisers

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The Financial Crimes Enforcement Network (FinCEN) has proposed long-expected regulations that would extend anti-money laundering (AML) requirements to federally registered investment advisers (RIA). The August 25, 2015...more

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