Joseph Toner

Feb 27, 2024 | lexology.com | Matthew Kulkin |Elizabeth Mitchell |Gretchen Passe Roin |Timothy Silva |Tiffany Smith |Dino Wu | +7 more

At an industry event in early 2023, Commodity Futures Trading Commission (CFTC or the Commission) Chairman Rostin Behnam set out a comprehensive agenda to include nearly three dozen rulemaking proposals as well as “business as usual requests” such as the issuance of orders, exemptive relief or interpretive relief.2 When Chairman Behnam detailed the CFTC’s 2023 work plan, the CFTC was building on its first year with a full slate of Commissioners, new Division Directors and senior leadership.

Aug 30, 2023 | mondaq.com | Timothy Silva |Joseph Toner |Andy Reynolds

In a 3-2 vote on August 23, 2023, the Securities and Exchange Commission ("SEC" or "Commission") adopted five new rules under the Investment Advisers Act of 1940 (the "Advisers Act"), collectively called the "Private Fund Adviser Rules." In adopting the rules, the SEC cites the main harms it has observed within the private fund industry as the opacity of private fund investments, the problems raised by certain conflicts of interest and the lack of governance mechanisms within private fund...

Aug 28, 2023 | lexology.com | Timothy Silva |Joseph Toner |Andy Reynolds

To view this article you need a PDF viewer such as Adobe Reader. If you can't read this PDF, you can view its text here. Go back to the PDF.