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Jeffrey D. Collins Document Search Results (16) Show: results per page Sort by:  | CFTC Repeals Rule 4.13(a)(4) Exemption from Registration and Amends Rule 4.13(a)(3)
Jeffrey D. Collins, Diana W. Lo; Foley Hoag LLP;
Legal Alert/Article April 24, 2012, previously published on April 19, 2012 As noted in our earlier client alert, the U.S. Commodity Futures Trading Commission (the “CFTC”) recently adopted a final rule that, among other changes, rescinds the exemption from registration currently available under CFTC Rule 4.13(a)(4). Rule 4.13(a)(4) was commonly relied upon by...
| | $200M Suit by Hedge Funds Dismissed As Beyond The Reach Of Section 10(B); Second Circuit Defines What Deals Are "Domestic Transactions" Under Federal Securities Law
Jeffrey D. Collins, Daniel Marx; Foley Hoag LLP;
Legal Alert/Article March 22, 2012, previously published on March 19, 2012 Earlier this month, in Absolute Activist Value Master Fund Ltd. et al. v. Ficeto et al., 11-cv-0221 (2d Cir. Mar. 1, 2012), the Court of Appeals for the Second Circuit affirmed the dismissal of a $200M fraud case brought by nine Cayman Island hedge funds that claimed to be the victims of a classic...
| | Massachusetts Securities Division Adopts New Investment Adviser Regulations
Jeffrey D. Collins, Meredith A. Haviland, Robert G. Sawyer; Foley Hoag LLP;
Legal Alert/Article March 2, 2012, previously published on February 17, 2012 The Massachusetts Securities Division (the “Division”) has adopted new regulations related to the registration of investment advisers. The new regulations are effective as of February 3, 2012, but will not be enforced by the Division until August 3, 2012.
| | New Registration Requirements for Cayman Islands Master Funds
Jeffrey D. Collins, Meredith A. Haviland, Peter M. Rosenblum; Foley Hoag LLP;
Legal Alert/Article February 8, 2012, previously published on February 3, 2012 As the result of a recent amendment to the Cayman Islands Mutual Funds Law, master funds formed in the Cayman Islands may be required to register with the Cayman Islands Monetary Authority (CIMA). Prior to the passage of the Mutual Funds (Amendment) Bill 2011 (the “Amendment”) in...
| | Deadlines Loom for Advisers Required to Register under Dodd-Frank or Become an Exempt Reporting Adviser
Jeffrey D. Collins, Meredith A. Haviland; Foley Hoag LLP;
Legal Alert/Article January 23, 2012, previously published on January 19, 2012 Asset managers are reminded that The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) implemented a significant change in the approach taken under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), regarding the registration...
| | SEC Issues Guidance On Use of Social Media by Investment Advisers
Jennifer Audeh, Jeffrey D. Collins; Foley Hoag LLP;
Legal Alert/Article January 17, 2012, previously published on January 13, 2012 On January 4, 2012 the SEC’s Office of Compliance Inspections and Examinations issued an exam alert to registered investment advisers which included guidance on the use of social media. The alert is not meant to be a comprehensive summary of all compliance matters related to the use of social...
| | Massachusetts Secretary Of State Proposes Amended New Regulations for Investment Advisers in Response to Dodd-Frank Act
Catherine M. Anderson, Jeffrey D. Collins; Foley Hoag LLP;
Legal Alert/Article January 17, 2012, previously published on January 12, 2012 The Massachusetts Securities Division has amended proposed rules relating to the regulation of investment advisers.
| | SEC Issues Final Rule on Net Worth Standard For Accredited Investors
Jeffrey D. Collins, Meredith A. Haviland; Foley Hoag LLP;
Legal Alert/Article January 6, 2012, previously published on January 3, 2012 Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”) set forth, among other regulatory changes, a revised net worth test for a natural person to qualify as an “accredited investor” for purposes of Regulation D under the Securities Act of...
| | New Form SLT Reporting Requirements in Effect for Certain Investment Advisers
Catherine M. Anderson, Jeffrey D. Collins; Foley Hoag LLP;
Legal Alert/Article October 6, 2011, previously published on October 4, 2011 Effective September 30, 2011, the new Treasury International Capital (TIC) Form SLT is required to be filed by certain custodians, investment managers and investors. The first filing deadline will be October 24, 2011 for any reporting entity, including an investment adviser that has $1 billion or...
| | Discussion Draft Bill Proposes SRO for Investment Advisers
Catherine M. Anderson, Jeffrey D. Collins; Foley Hoag LLP;
Legal Alert/Article October 3, 2011, previously published on September 30, 2011 On September 8, 2011, Representative Bachus (R-Ala.), Chairman of the House Financial Services Committee, introduced a discussion draft of the Investment Adviser Oversight Act of 2011 which proposes allowing a self-regulatory organization (“SRO”) to oversee investment advisers. If...
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