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Dec 6, 2024 | 
jdsupra.com | Adam Bolter |Christian B. Hennion
While most industry observers agree that the transition to the new presidential administration will bring with it a deregulatory agenda, members of Katten’s asset management regulatory team compiled their Top-5 Holiday Wish List (in no particular order): [Spoiler Alert: There’s a pretty heavy focus on private funds.] For over 20 years, the Securities and Exchange Commission (SEC) Staff has limited closed-end funds from investing in private funds unless the closed-end funds are available only...
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Oct 30, 2024 | 
jdsupra.com | Wayne Aaron |Adam Bolter |James Brady
On October 21, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2025 (Oct. 1, 2024–Sept. 30, 2025). First published in 2013, the SEC's annual examination priorities inform industry participants about key areas the Division intends to focus its efforts — areas the Division believes present the highest risks to investors and the markets.
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Sep 13, 2024 | 
mondaq.com | Adam Bolter |Michael Diver |Susan Light |Wayne Aaron
Katten's Financial Markets and Funds Quick Take is
a monthly newsletter highlighting key noteworthy developments
potentially affecting financial markets and funds.
To read more issues of Katten's Financial Markets and Funds
Quick Take, please click here.
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Sep 12, 2024 | 
jdsupra.com | Adam Bolter |Michael Diver |Susan Light
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds. To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
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Sep 12, 2024 | 
katten.com | Adam Bolter |Michael Diver |Susan Light |Wayne Aaron
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.
To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
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Sep 8, 2024 | 
mondaq.com | Adam Bolter
KM
Katten Muchin Rosenman LLP
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Katten is a firm of first choice for clients seeking sophisticated, high-value legal services globally. Our nationally and internationally recognized practices include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth.
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Sep 6, 2024 | 
jdsupra.com | Adam Bolter
On August 28, the US Department of the Treasury’s (Treasury Department) Financial Crimes Enforcement Network (FinCEN) issued a final rule that expands anti-money laundering (AML) and countering the financing of terrorism (CFT) program requirements to cover Securities and Exchange Commission (SEC) registered investment advisers (RIAs) and SEC exempt reporting advisers (ERAs) (collectively, Investment Advisers).
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Sep 5, 2024 | 
natlawreview.com | Adam Bolter
On August 28, the US Department of the Treasury’s (Treasury Department) Financial Crimes Enforcement Network (FinCEN) issued a final rule that expands anti-money laundering (AML) and countering the financing of terrorism (CFT) program requirements to cover Securities and Exchange Commission (SEC) registered investment advisers (RIAs) and SEC exempt reporting advisers (ERAs) (collectively, Investment Advisers).
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Aug 26, 2024 | 
jdsupra.com | Adam Bolter |Christian B. Hennion
In a recent decision, the US District Court for the Southern District of New York dismissed a proposed class action against Seeking Alpha, Inc., ruling that the financial content platform falls within the "publisher's exclusion" from the definition of an investment adviser.1 This case sheds light on the scope of the exclusion in the digital age and, in a regulatory area with limited guidance, offers recent and valuable insights for financial publishers and content platforms.
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Aug 20, 2024 | 
natlawreview.com | Adam Bolter
Skip to main content August 20, 2024 Volume XIV, Number 233 Legal Analysis. Expertly Written. Quickly Found.
