Investment advisers must comply with the Treasury’s Outbound Investment Rule, which could necessitate changes in the investment strategies and governance of (i) funds advised by U.S. investment advisers and (ii) offshore funds with U.S. person investors.
June 09, 2025
Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
April 15, 2024
SEC Declines to Weigh In On Whether Syndicated Loans are Securities
The case in question is on appeal before the Second Circuit Court of Appeals following a lower court decision that the syndicated loan at issue in that case is not a security.
July 25, 2023
SEC Issues Risk Alert with Exam Observations Related to LIBOR Transition
The Risk Alert describes examination observations of transition away from LIBOR by the asset management industry.
May 19, 2023
FINRA Once Again Postpones Compliance Date for Margin for Covered Agency Transactions
FINRA extends compliance date for Rule 4210, margin requirements for Covered Agency Transactions by six months, to October 25, 2023.
March 10, 2023
LIBOR Transition: June 30, 2023 – The End (Mostly)
This article discusses issues for investment advisers to consider related to the transition from LIBOR immediately after June 30, 2023.
February 23, 2023
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August 02, 2022
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