Industry Content
Cryptocurrency Funds: Navigating The Path From Investor To Fund Manager
- Technology
- Digital Assets
- Crypto Assets
- +2Fund Management, Blockchain
The recent exponential surge of the price and market cap of bitcoin and other cryptocurrencies, such as Ethereum, Litecoin and Ripple, as well as...
SEC Proposes to Amend Form 13F Reporting Thresholds for Institutional Investment Managers
On July 10, 2020, the Securities and Exchange Commission (SEC) proposed to raise the Form 13F reporting threshold for institutional investment managers from $100...
Reforms on Qualified Foreign Institutional Investors (QFIIs)
- Financial Institutions
- Banking
- Capital Markets
- +8Derivatives, Capital Requirements, Asset Management, Fund Management, Commodities, Private Investment Funds, Foreign Investment, QFII/RQFII
As part of China's ongoing efforts to open up its securities and futures market, Chinese authorities are working on a series of measures to...
Federal Agencies Amend the Volcker Rule’s Covered Fund Restrictions – Implications for Investment Managers
- Banking
- Issuers
- Asset Management
- +2Investment Management,, Volcker Rule
n July 2018, the U.S. federal agencies that administer the Volcker Rule (collectively, the Agencies) initiated a series of proposed rulemakings to amend the...
DOL Proposes Rule Restricting ESG Investing
- ESG and Sustainable Fina...
- Corporate Governance
- +4Investment Funds, Retirement, Investment Management,, ERISA
On June 23, 2020, the U.S. Department of Labor (the “DOL”) issued a proposed rule (the “Proposed Rule”) that would make it more difficult...
SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules
- COVID-19
- Issuers
- Capital Requirements
- +4Stock Exchanges, Liquidity, Private Investment Funds, Capital Raising
Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness, the New York Stock Exchange’s (NYSE) proposal to extend...
What Did the DOL Just “Rollover” (and Roll Out)? – “A Primary Basis” for Understanding the New Proposed ERISA Exemption and Related Guidance
- Banking
- Insurance
- Retirement
- Investment Advisers
- +2Investment Advisers Act of 1940, ERISA
The U.S. Department of Labor (the “DOL”) on June 29, 2020 issued a release (the “Release”) proposing an important new initiative for retirement accounts...
OCIE Warns of Increasingly Sophisticated Ransomware Attacks Affecting SEC Registrants
- Leadership
- Financial Institutions
- Investment Firms
- +4Privacy and Information Security, Investment Advisers, Broker-Dealers, Operational Resilience
On July 10, 2020, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert (OCIE Alert)...
SEC OCIE Issues Cybersecurity Risk Alert on Ransomware
- Financial Institutions
- Privacy and Information ...
- +1Operational Resilience
The staff (“Staff”) of the SEC’s Office of Compliance Inspections and Examinations released a Risk Alert that provides observations to assist SEC registrants (“registrants”)...
SEC Proposal: Will You Still Be a 13F Filer?
On July 10, 2020, the US Securities and Exchange Commission (SEC) released a proposed rule amendment to increase the Form 13F reporting threshold from...
