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Investment Management

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When Legal or Compliance Personnel May Be Subject to Failure to Supervise Liability Under the Securities Laws
Daniel Nathan and Ana-Maria Ignat
10/9/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
CFTC Staff Issues Commodity Option Frequently Asked Questions (“FAQs”)
Julian Hammar and Michael Sorrell
10/2/2013
Banking + Financial Services, Energy, Financial Institutions + Financial Services, Investment Management
Client Alert
FINRA Gives Member Firms a Thumbs Up on Suitability Rule Compliance
Daniel Nathan and Ana-Maria Ignat
9/30/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
NY Fed to Establish an Overnight Fixed-Rate Reverse Repo Facility Available to Money Market Funds and Others
The BD/IA Regulator
Oliver Ireland and Jay Baris
9/23/2013
Investment Management
Blog Post
The CFTC Charges Civil Perjury, Even After the Witness Comes Clean
The BD/IA Regulator
Daniel Nathan and Jeremy Merkelson
9/23/2013
Investment Management
Blog Post
Disclosure Requirements and Advertising Rules for CPOs
Ze'-ev Eiger
9/20/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
Renewed Focus on an Old Rule: SEC Steps Up Rule 105 Enforcement Efforts
Jay Baris, Hillel Cohn, Ana-Maria Ignat, and Daniel Nathan
9/18/2013
Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
The Guide to Social Media and the Securities Laws
David Lynn and Jay Baris
September 2013
Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Social Media
Article
PCAOB’s Report on Broker-Dealer Audit Deficiencies Points the Way for BDs to Improve Their Financial Reporting and Compliance
Daniel Nathan and Ana-Maria Ignat
8/26/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning
Daniel Nathan and Ana-Maria Ignat
8/21/2013
Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that Are Commodity Pools
Kelley Howes and Jay Baris
8/14/2013
Investment Management
Client Alert
Federal Court Finds That Issuer Shares Purchased with Bitcoin Are Securities
Jay Baris
8/14/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Mobile Payments
Article
Insider Trading in Mutual Funds: Do Traditional Theories Apply?
Jay Baris, Kelley Howes, and Daniel Nathan
8/8/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC to Broker-Dealers: More Oversight, Fewer Madoffs?
Daniel Nathan and Adam Fleisher
8/7/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements
Ze'-ev Eiger
8/5/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery
Daniel Nathan
7/26/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
The STOCK Act and the Political Intelligence Industry
Harvard Law School Forum on Corporate Governance and Financial Regulation
Daniel Nathan and Ana-Maria Ignat
7/20/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Investment Management Legal + Regulatory Update
July 2013
Jay Baris, Robert Putney, Isabelle Sajous, Kelley Howes, and Luke Bagley
7/18/2013
Investment Management
Newsletter
Private Funds on Social Media—Proceed with Caution
Socially Aware Blog
Jay Baris
7/15/2013
Investment Management
Article
How Can Compliance Pros Avoid the SEC's Wrath?
Ignites
Jay Baris
7/12/2013
Investment Management
Article
Goldilocks, Porridge and General Solicitation
Anna Pinedo, Jay Baris, and David Lynn
7/10/2013
Banking + Financial Services, Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance
Client Alert
Rule 156 Proposal
MoFo Jumpstarter Blog
Jay Baris
7/10/2013
Investment Management
Article
UK Implementation of AIFMD: FCA Notification Forms
Jeremy Jennings-Mares, Peter Green, Jay Baris, and Afia Fening
7/10/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
UK Implementation of AIFMD: UK Private Placement Regime and non-EU Fund Managers
Jeremy Jennings-Mares, Peter Green, Afia Fening, and Jay Baris
7/2/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
SEC Proposes Floating NAV for Institutional Prime Money Market Funds
Wall Street Lawyer, Volume 17, Issue 7
Jay Baris and Oliver Ireland
July 2013
Capital Markets, Investment Management
Article
Court of Appeals Rejects Challenge to CFTC’s Rule 4.5
Jay Baris
6/26/2013
Derivatives + Commodities, Investment Management
Client Alert
The STOCK Act and the Political Intelligence Industry: No Easy Answers
Daniel Nathan and Ana-Maria Ignat
6/24/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Reforming the Regulation of Money Market Funds
Lexis PSL
Jay Baris
6/20/2013
Investment Management
Article
This article first appeared on Lexis PSL on June 20, 2013. For a free trial of Lexis PSL, please visit www.lexisnexis.com/uk/lexispsl/.
SEC Slaps Fund Directors for Violating Fair Value Responsibilities
Jay Baris
6/14/2013
Investment Management
Client Alert
Dodd-Frank at 3: The Snail and the Tortoise
Jay Baris, Melissa Beck, Leonard Chanin, Oliver Ireland, David Kaufman, Kenneth Kohler, David Lynn, Jerry Marlatt, Anna Pinedo, and James Schwartz
6/7/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, Investment Management, New Products, Public Companies Counseling + Compliance, Structured Finance + Securitization
User Guide
SEC Proposes Floating NAV for Institutional Prime Money Market Funds; “Fees and Gates” for Non-Government Funds
Jay Baris and Oliver Ireland
6/5/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management
Client Alert
Now the Fun Begins: FSOC Proposes the First Three Nonbank SIFIs
Jay Baris, Henry Fields, Oliver Ireland, Barbara Mendelson, Kelley Howes, Robert Putney, Isabelle Sajous, Anna Pinedo, Jeremy Jennings-Mares, and Peter Green
6/4/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
Broker-Dealer Email Systems Must Keep Pace with Firm Growth, FINRA Says
Daniel Nathan and Kelley Howes
5/28/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
The European Alternative Investment Fund Managers Directive—a non-EU Fund Manager’s Perspective
Jeremy Jennings-Mares, Jay Baris, Afia Fening, Peter Green, Robert Putney, and Isabelle Sajous
5/17/2013
Capital Markets, Financial Institutions | Europe, Financial Institutions + Financial Services, Investment Management
Client Alert
Investment Management + Legal Regulatory Update
May 2013
Jay Baris, Robert Putney, Isabelle Sajous, Kelley Howes, and Luke Bagley
5/15/2013
Investment Management
Newsletter
FINRA Identifies Concerns with Marketing of Real Estate Investment Products
Daniel Nathan and Kelley Howes
5/10/2013
Broker-Dealer Compliance + Regulation, Investment Management, Private Equity Funds
Client Alert
SEC Sanctions Fund Trustees for Inadequate Disclosures and Failure to Follow Compliance Policies
Jay Baris and Kelley Howes
5/2/2013
Investment Management, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Annual Review of Federal Securities Regulation
The Business Lawyer, Vol. 68, No. 3
Anna Pinedo, Chrys Carey, Ze'-ev Eiger, Neeraj Kumar, David Lynn, Michael Rosenberg, and Helen Yu
May 2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Emerging Companies + Venture Capital, Equity Offerings, Financial Institutions + Financial Services, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
SEC and CFTC Issue Identity Theft Rules
Daniel Nathan and Ana-Maria Ignat
4/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Structured Products: Investment Company Act and Investment Advisers Act Considerations
The Review of Securities & Commodities Regulation, Vol. 46 No. 7
Jay Baris and Anna Pinedo
4/3/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Structured Products
Article
J-REIT Reform – Finance and Insider Trading Regulations
Mitsutoshi Uchida and Shusaku Iwasaki
4/2/2013
Investment Management, Japan, Real Estate | Japan
Client Alert
SEC Adviser Exams Find Widespread Violations of Custody Rule
Jay Baris, Kelley Howes, and Luke Bagley
3/7/2013
Investment Management
Client Alert
Application of the Self-Employment Tax and 3.8% Net Investment Income Tax to Fund Managers
Robert Cudd and Michelle Jewett
3/6/2013
Federal Tax, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Private Equity Investments + Buyouts
Client Alert
One Step Closer to a Fiduciary Duty for Broker-Dealers?
Jay Baris, Hillel Cohn, and Kelley Howes
3/5/2013
Broker-Dealer Compliance + Regulation, Investment Management
Client Alert
SEC Fired Warning Shot: Valuation Responsibility is Important and under Scrutiny
Fund Directions, Vol. XXII, No. 3
Jay Baris
March 2013
Investment Management
Article
JOBS Act Quick Start
A brief overview of the JOBS Act
International Financial Law Review
Nilene Evans, David Lynn, and Anna Pinedo
February 2013
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Book
Supreme Court: Statute of Limitations in SEC Fraud Cases Begins to Run When Fraud Occurs, not When Discovered.
Jay Baris, Randall Fons, and Kelley Howes
2/27/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers
Jay Baris and Kelley Howes
2/22/2013
Broker-Dealer Compliance + Regulation, Investment Management
Client Alert
Investment Management Legal and Regulatory Update
February 2013
Jay Baris, Kelley Howes, Robert Putney, Isabelle Sajous, and Luke Bagley
2/12/2013
Broker-Dealer Compliance + Regulation, Investment Management
Newsletter
SEC Enforcement Priorities and Compliance Opportunities
Of Counsel, Vol. 32, No. 2
Brian Hoffman
February 2013
Broker-Dealer Compliance + Regulation, Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission, Aspen Publishers.
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