Investment Management

The guidance clarifies the circumstances in which minimum investment amounts can help satisfy the reasonable steps require...

In this issue, we discuss recent developments regarding compliance with Exchange Act Rule 13f-2 and Form SHO, and FinCEN?...

In this issue, we discuss recent developments regarding enforcement of the Corporate Transparency Act, and the SEC staff?...

In this issue, we discuss recent developments regarding enforcement of the Corporate Transparency Act, and enforcement act...

In this issue, we discuss technical amendments adopted by the SEC to reflect the federal court’s decision to vacate the ...

On 1, November 2024, the FCA issued finalised guidance on the UK change in control regime. The guidance outlines the expec...

In this issue we discuss the 2025 examination priorities for the SEC’s Division of Examinations.

Davis Polk partner Greg Rowland co-authored a chapter in Global Legal Insight’s Blockchain & Cryptocurrency Laws and Reg...

In this issue we discuss, among other things, recent enforcement actions involving investment advisers and alleged violati...

The SEC’s form and rule amendments require 1940 Act funds to enhance their periodic portfolio reporting. The SEC also pr...