Skip to content

menu

Perkins Coie LLP logo
HomeOur TeamAboutContact Us
Search
Close
ComplianceRegistered Investment CompaniesU.S. Advisor RegulationCurrent Page:All Topics
youtube Twitter LinkedIn Facebook RSS Privacy Policy
Subscribe

Asset Management ADVocate

Unique Views into the Regulation of Asset Management

Topics

Adviser and Fund M&A

FINRA and CFTC Staff Issue COVID-19 Advisories on Commodity-Linked ETPs and Funds

Advisory Contracts and Fees

SEC Enforcement Staff Touts Year of Firsts and Big DataMore Sanctions from Private Equity Fees: W.L. RossApollo Global Management Settles with the SEC

Compliance

FINRA Emphasizes Reg BI Standards for Complex Product RecommendationsInvestment Company Status Considerations for Cash Positioning in Wake of Bank FailuresMarket Turmoil Caused by “Run on the Banks” Leads to Trading Halts

Cybersecurity

FINRA Repeats Warnings of Imposter WebsitesFINRA Issues Notice Regarding Business Continuity Planning During COVID-19 OutbreakOCIE Releases New Observations on Cybersecurity and Resiliency

Distribution

Institutional Investment in Crypto Derivatives: Bitcoin Futures and Similar Products – Episode 4As Pandemic Lingers, SEC Has Not Forgotten About Advisers’ Share Class Selection and Compensation PracticesThe SEC Issues its Long-Awaited ETF Rule (Part 3) – The ETF Exemptive Order

Dodd-Frank Act and FSOC

The SEC’s Fiduciary Rule Proposal — Implications for Investment Advisers (Part 4)The SEC’s Fiduciary Rule Proposal — Implications for Investment Advisers (Part 3)The SEC’s Fiduciary Rule Proposal — Implications for Investment Advisers (Part 2)

Exchange Traded Funds

FINRA Emphasizes Reg BI Standards for Complex Product RecommendationsUnderstanding Circuit Breakers, Our New Reality, in the Time of COVID-19Re-Proposed Rule 18f-4—Fund Taxonomy

Exempt Investment Companies

Investment Company Status Considerations for Cash Positioning in Wake of Bank FailuresTreasury Clearing Proposal: More on Multilateral NettingCentral Clearing of Treasury Trades—What the SEC Hopes to Accomplish

Family Offices

Updated SEC Definition Opens Private Markets to (a Handful of) New InvestorsFamily Offices and the Madness of CrowdsalesSegregating Custody of Family Office Assets

Fiduciary Issues

The DOL Flip Flops, Proposing Expanded Use of ESG Factors for ERISA PlansThe DOL and the EU on ESGAs Pandemic Lingers, SEC Has Not Forgotten About Advisers’ Share Class Selection and Compensation Practices

Fund Organization and Governance

Institutional Investment in Crypto Derivatives: Bitcoin Futures and Similar Products – Episode 4SEC Proposes Regulations for Determining Fair Value of Securities Held by Investment CompaniesOCIE Announces Risk-Based Exam Initiatives for Mutual Funds—Part 2

Money Market Funds

SEC Study Confirms Swing Pricing Proposal Would Dilute ShareholdersMarket Externalities and Money Market FundsThe Cost of Swing Pricing Too Often

Offshore Advisor Regulation

The DOL and the EU on ESG

Registered Investment Companies

Investment Company Status Considerations for Cash Positioning in Wake of Bank FailuresSorting Out the Universal Swing Pricing ProposalTreasury Clearing Proposal: More on Multilateral Netting

U.S. Advisor Regulation

ESG and the SEC: Where Are We Now? (Part 3 of 4)The DOL Flip Flops, Proposing Expanded Use of ESG Factors for ERISA PlansSEC Proposes Changes to How Funds Disclose How They Voted

UCITS

The DOL and the EU on ESG

Uncategorized

New Additions and PerspectivesWelcome to Asset Management ADVocate!

Asset Management ADVocate

youtube Twitter LinkedIn Facebook RSS Privacy Policy
Perkins Coie LLP logo
Anchorage|Austin|Beijing|Bellevue|Boise|Chicago|Dallas|Denver|Los Angeles|Madison|New York|Palo Alto|Phoenix|Portland|San Diego|San Francisco|Seattle|Shanghai|Taipei|Washington, D.C.
Privacy PolicyDisclaimer

About the Firm

Perkins Coie is a leading international law firm that is known for providing high value, strategic solutions and extraordinary client service on matters vital to our clients’ success. With more than 1,200 lawyers in offices across the United States and Asia, we provide a full array of corporate, commercial litigation, intellectual property and regulatory legal advice to a broad range of clients, including many of the world’s most innovative companies and industry leaders as well as public and not-for-profit organizations.

Topics

Archives

Copyright ©2023, Perkins Coie LLP All Rights Reserved.
Law blog design & platform by LexBlog LexBlog Logo