BNA INSIGHTS: Financial Industry Reform: New Registration, Recordkeeping, and Reporting Requirements for Private Fund Managers

The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) will fundamentally change many aspects of financial industry regulation in the United States.

BNA INSIGHTS: Employee Retirement Income Security Act Fiduciary Rules and Target Date Funds

In a Dec. 4, 2009, response to questions from Avatar Associates regarding conflicts of interest in target date funds, the U. S. Department of Labor clarified that plan…

SEC Proposes Framework for Fund Fees; Approves Adviser Disclosure Form Changes

The Securities and Exchange Commission July 21 unanimously proposed extensive changes to the framework for mutual fund distribution fees that would cap…

SEC Proposes Framework for Fund Fees; Approves Adviser Disclosure Form Changes

The Securities and Exchange Commission July 21 unanimously proposed extensive changes to the framework for mutual fund distribution fees that would cap…

SEC Adopts Adviser ‘Pay-to-Play’ Rule; Industry Welcomes Easing of Solicitor Ban

Securities and Exchange Commission members June 30 unanimously voted to adopt a new rule designed to curb pay-to-play practices by investment…

House-Senate Financial Reform Conferees Agree on Hedge Fund Adviser Registration, Rating Agency Provisions

Conferees June 15-17 made some progress on the broad financial reform legislation, agreeing to provisions that would impact hedge…

BNA INSIGHTS: An Examination of the Private Equity Proposals in the Senate Reform Bill

Several proposals were introduced in 2009 and 2010 that seek to regulate exempt investment advisers and private investment companies more closely…

SEC’s Chicago Office Pioneers New Risk-Based Examination Process

The Securities and Exchange Commission’s Chicago Regional Office is leading the way in piloting what could become a key component of…

Sweeping Senate-Passed Reform Bill Would Boost Oversight of Hedge Funds, Credit Rating Agencies

After nearly three weeks of debate on the floor, the Senate May 20 passed, by a vote of 59 to 39, an historic bill that would achieve the most expansive overhaul of securities regulation since…

BNA INSIGHTS: ‘Pay-to-Play’ in the Financial Services Industry: Current Developments and Strategies to Reduce Risk

“Pay-to-play” concerns in the financial services industry were placed under a spotlight in 2009 as a result of scandals highlighted by an investigation of the New York State Common Retirement Fund…

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