Robert Sawyer

Oct 23, 2024 | mondaq.com | Robert Sawyer |Jeffrey Collins |Julia Dash

Key Takeaways: The SEC adopted Rule 13f-2 and the corresponding Form SHO that requires institutional investment managers ("Managers") to report certain short position and short activity data for equity securities on a month-to-month basis if certain thresholds are met. The compliance date for Rule 13f-2 and the related Form SHO is January 2, 2025. On October 13, 2023, the SEC adopted Rule 13f-2 and related Form SHO pursuant to the Securities Exchange Act of 1934 (the "Exchange Act").

Sep 11, 2024 | mondaq.com | Adam Safwat |Aleksis Fernandez Caballero |Robert Sawyer

On August 28, 2024, the U.S. Department of the Treasury's Financial Crimes Enforcement Network ("FinCEN") issued its final rule requiring certain investment advisers to implement anti-money laundering ("AML") compliance procedures, one of the more significant recent AML regulatory developments.1 FinCEN's final rule ("the new FinCEN Rule") will require some registered investment advisers ("RIAs") as well as exempt reporting advisers ("ERAs") to develop procedures that satisfy the requirements...

Sep 9, 2024 | mondaq.com | Robert Sawyer |Ayah Zaidi

Private fund managers are reminded that the Corporate Transparency Act (CTA) may trigger reporting obligations to the Department of the Treasury's Financial Crimes Enforcement Network for private fund managers and the private funds they manage in 2024 as soon as 90 days after the initial organization of a new entity or by January 1, 2025, for existing entities (formed prior to January 1, 2024).

Jun 10, 2024 | mondaq.com | Eric Belsley |Robert Sawyer

In August 2023 the Securities and Exchange Commission adopted final rules that sought to implement sweeping changes to the private funds industry. The Fifth Circuit Court of Appeals issued a decision today vacating the rule on the grounds that it exceeded the SEC's statutory rulemaking authority.

May 30, 2024 | thespec.com | Alex Good |Robert Sawyer |Edward Ashton |Lionel Shriver

The DownloadedBy Robert J. Sawyer Already a Subscriber? Sign in Shadowpaw Press, $19.95, 192 pages The Rip Van Winkle story has often been adapted by science-fiction authors as a way of transporting present-day characters far into the future. And in Robert J. Sawyer’s “The Downloaded,” it comes in handy again. In 2059 a crew of scientists have their bodies frozen and their minds uploaded into virtual reality programs before being sent to a new planet.