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HTMLFinCEN Proposes IA AML Rule
Sutherland Asbill Brennan LLP;
Legal Alert/Article
August 28, 2015, previously published on August 27, 2015
The Financial Crimes Enforcement Network (FinCEN) recently proposed anti-money laundering (AML) rules for investment advisers registered or required to be registered with the SEC (Covered Advisers). These rules are aimed at Covered Advisers precisely because they are not required to maintain AML...

 

HTMLHarmonized Derivatives Rules Proposed Across Many Canadian Provinces
Carol E. Derk; Borden Ladner Gervais LLP;
Legal Alert/Article
August 26, 2015, previously published on August 25, 2015
On August 25, 2015, British Columbia, Ontario, Saskatchewan, New Brunswick, Prince Edward Island, Yukon (the CMR Jurisdictions) and Canada released draft legislation and regulations for the implementation of the Cooperative Capital Markets Regulatory System (the Cooperative System). Two of the...

 

HTMLCanada Seeking Consultation on Guidance and Reporting Requirements Under the Extractive Sector Transparency Measures Act
John W. Boscariol, Robert A. Glasgow, Brandon Mattalo; McCarthy Tetrault LLP;
Legal Alert/Article
August 20, 2015, previously published on August 19, 2015
Natural Resources Canada (“NRCan”) recently released draft guidance and specifications for reporting payments to governments and government officials under the Extractive Sector Transparency Measures Act (“ESTMA”). Mining and oil and gas companies should be carefully...

 

HTMLSEC Releases Third Annual Report Regarding Use of Form PF Data
Sutherland Asbill Brennan LLP;
Legal Alert/Article
August 19, 2015, previously published on August 18, 2015
On August 13, the SEC’s Division of Investment Management published its third annual report describing how the SEC uses Form PF data to protect investors and the integrity of the markets. The SEC, which adopted Form PF in 2011 as a part of its mandate under the Dodd-Frank Act, uses the form...

 

HTMLICSID Arbitration: A Tool To Secure International Investments
HERDEM Attorneys At Law;
Legal Alert/Article
August 13, 2015, previously published on July 13, 2015
We are all witnessing world's shrinking with the technological developments, as the time passes, fast and secured transportation of goods or energy lead investors to conduct commercial activities among various countries. While merchandising, international investors are handling with investing...

 

HTMLUPDATE - First Circuit Upholds Method of Distribution of Notice in Hill v. State Street Corp., But Cautions Against Practice of Delivering Late Notice to Small Investors
John F. Nucci; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
August 12, 2015, previously published on August 11, 2015
The United States Court of Appeals for the First Circuit recently issued a summary dismissal denying a number of objections to the Settlement Agreement reached in Hill v. State Street Corporation. The decision further sheds light on what constitutes the proper dissemination of notice to potential...

 

HTMLRapid Growth in Online Lending Prompts Information Request from U.S. Treasury
Lisa M. Ledbetter, Ralph F. MacDonald; Jones Day;
Legal Alert/Article
August 6, 2015, previously published on July 2015
The U.S. Treasury Department (the "Treasury") has issued a Request for Information ("RFI") on online marketplace lending, including peer-to-peer lending ("Online Lending") in the U.S. 80 F.R. 42866-68 (July 20, 2015).

 

HTMLOSC Staff Guidance on Portfolio Liquidity for Investment Funds - Eight Key Compliance Considerations
Lynn M. McGrade, Donna Spagnolo; Borden Ladner Gervais LLP;
Legal Alert/Article
August 6, 2015, previously published on July 30, 2015
On June 25, 2015, the Ontario Securities Commission (the OSC) issued OSC Staff Notice 81-727 Report on Staff’s Continuous Disclosure Review of Mutual Fund Practices Relating to Portfolio Liquidity. The Notice provides OSC staff’s views on their findings arising out of the 2014/2015...

 

HTMLESMA Advises Delaying Extension of AIFMD Passport to United States
Sutherland Asbill Brennan LLP;
Legal Alert/Article
August 6, 2015, previously published on August 5, 2015
The Alternative Investment Fund Managers Directive (AIFMD) allows EU alternative investment fund managers (AIFMs) to market EU alternative investment funds (AIFs) to professional investors across EU member states using a passport regime. The AIFMD contemplates the expansion of the passport regime...

 

HTMLSubscription Lenders - Beware of Investor Opt-Out
Bryan G. Petkanics, Peter G. Seiden; Loeb & Loeb LLP;
Legal Alert/Article
August 5, 2015, previously published on July 2015
Subscription lenders to a private equity fund base their credit decisions on the quality of the fund's investors whose capital commitments to the fund are pledged to secure the credit extensions. Inherent in the lender's acceptance of this risk is an understanding that the investors' commitments...

 


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