|US Securities and Exchange Commission Settles Its First Whistleblower Anti-Retaliation Case|
Marcus A. Christian, Adam D. Kanter, Stephanie M. Monaco, Jerome J. Roche, Richard M. Rosenfeld; Mayer Brown LLP;
July 4, 2014, previously published on June 27, 2014The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission’s first whistleblower anti-retaliation case. As part of the settlement order, the SEC charged Paradigm Capital Management, Inc., a registered investment adviser, and...
|Capital Commitment Subscription Facilities and the Proposed Liquidity Coverage Ratio|
Kiel A. Bowen, J. Paul Forrester, Carol A. Hitselberger, Adam D. Kanter, Michael C. Mascia; Mayer Brown LLP;
January 2, 2014, previously published on December 20, 2013On November 29, 2013, the Board of Governors of the Federal Reserve System (FRB), the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC, and collectively, the Agencies) published in the Federal Register a notice of proposed rule making (the Proposed...
|Form ADV Updates: A Few Tips for Advisers Getting an Early Start|
Adam D. Kanter, Elizabeth M. Knoblock; Mayer Brown LLP;
October 13, 2012, previously published on October 11, 2012As we enter the fourth quarter of 2012, investment advisers registered with the US Securities and Exchange Commission (SEC) should begin thinking about the annual update to Form ADV Part 2 (the Brochure). An early start can be particularly helpful for advisers to private funds that may be in the...
|US Securities and Exchange Commission Adopts Large-Trader Reporting System|
Scott A. Anenberg, Marc R. Cohen, Adam D. Kanter, Jerome J. Roche, David R. Sahr; Mayer Brown LLP;
August 11, 2011, previously published on August 9, 2011On July 26, 2011, the US Securities and Exchange Commission (SEC) voted unanimously to adopt Form 13H and Rule 13h-1 under the Securities Exchange Act of 1934 (Exchange Act). The formal adopting release was issued on July 27.1 Although Rule 13h-1 is technically effective on October 3, 2011, the...
|US Securities and Exchange Commission Proposes New Reporting Rules for Advisers to Private Funds|
Leslie S. Cruz, Adam D. Kanter, Elizabeth M. Knoblock, Stephanie M. Monaco, Amy Ward Pershkow; Mayer Brown LLP;
February 17, 2011, previously published on February 10, 2011On January 25, 2011, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC) jointly proposed rules that would require reporting by investment advisers to certain types of pooled investment vehicles on new Form PF (the “Proposal”). The...