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|Cross-border Foreign Collective Investment Schemes - a comparative study on Brazil-Australia systems|
Ulisses de Araujo Gagliano; Nelson Wilians & Advogados Associados;
June 14, 2013, previously published on June 2013This article intends to identify the similarities and differences between the disclosure regimes of Australian and Brazilian, specifically in regard to product disclosure requirements for interests in a managed investment scheme. The study will elaborate upon a hypothetical Australia-based...
|NIH Opens SBIR Program to Majority-Owned Venture Capital Small Business Concerns|
Alexander Hecht, Abby Matousek; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
June 14, 2013, previously published on June 10, 2013On May 31, the Department of Health and Human Services (HHS) reissued its Omnibus Funding Opportunity Announcement (FOA) for the Small Business Innovation Research (SBIR) and the Small Business Technology Transfer (STTR) programs in order to implement venture capital provisions of the SBIR/STTR...
|Canadian Mutual Funds Obtain Relief to Clear Swaps as Mandated by CFTC|
Carol E. Derk; Borden Ladner Gervais LLP;
June 13, 2013, previously published on June 11, 2013On June 7, 2013, some Canadian mutual funds obtained exemptive relief under National Instrument 81-102 - Mutual Funds (NI 81-102) to permit them to enter into cleared swaps in accordance with the clearing mandates issued by the U.S. Commodity Futures Trading Commission (CFTC) under the Dodd-Frank...
|SEC Proposes Money Market Fund Reform|
Lea Anne Copenhefer, Barry N. Hurwitz, Roger P. Joseph, Matthew Prasse, Mari Wilson; Bingham McCutchen LLP;
June 13, 2013, previously published on June 11, 2013On June 5, 2013, the U.S. Securities and Exchange Commission voted unanimously to propose significant changes to the regulation of money market funds. The SEC’s proposal, which is lengthy and extremely detailed, includes two key alternative changes along with a number of other reforms. The...
|The Impact of the AIFMD on Non-EU Managers Marketing their Investment Funds into the UK|
Neil Macleod; Fried, Frank, Harris, Shriver & Jacobson (London) LLP;
June 13, 2013, previously published on June 7, 2013This briefing provides a summary of how the AIFMD will affect non-EU managers who wish to market their funds to UK investors from 22 July 2013.
|SEC and CFTC Jointly Adopt Identity Theft Red Flags Rules Applicable to Investment Advisers and Others|
Catherine M. Anderson, Gabrielle A. Bernstein; Foley Hoag LLP;
June 12, 2013, previously published on May 28, 2013On April 10, 2013, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted identity theft red flags rules (the Rules) and corresponding guidelines requiring certain SEC and CFTC-regulated entities to implement identity theft prevention...
|SEC Issues FAQS Regarding Conflict Minerals and Resource Extraction Issuer Disclosure Requirements Under Dodd-Frank Act|
June 11, 2013, previously published on June 2013The SEC's Division of Corporation Finance recently issued much-anticipated interpretive guidance, in the form of frequently asked questions, regarding the conflict minerals and resource extraction issuer disclosure requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act....
|Amendment Bill to Improve the Reliability and Stability of the Financial System of Japan|
Tomoko Fuminaga, Akihito Miyake, Yoshiyuki Omori, Christopher P. Wells, Koji Yamamoto; Bingham McCutchen Murase Sakai Mimura Aizawa Foreign Law Joint Enterprise;
June 11, 2013, previously published on June 10, 2013In response to the recent events that shook the financial industry of Japan such as the insider trading scandals in connection with public stock offerings and the AIJ fraud scandal, a bill containing various proposed amendments designed to improve the reliability and stability of the financial...
|The June 10, 2013 Clearing Requirement Remains in Effect|
Borden Ladner Gervais LLP;
June 11, 2013, previously published on June 7, 2013Barring last-minute relief by the U.S. Commodity Futures Trading Commission (CFTC), many market participants in the $639 trillion over-the-counter (OTC) derivatives market will be required on June 10, 2013 to substantially change their trading practices with U.S. counterparties in certain OTC...
|Money Market Mutual Funds: Securities and Exchange Commission Voted Unanimously to Propose Money Market Funds Reforms|
Sullivan Cromwell LLP;
June 10, 2013, previously published on June 7, 2013On June 5, 2013, the SEC voted unanimously to propose alternatives for amending rules that govern money market mutual funds under the Investment Company Act of 1940.