Presentation | Speech
Jennifer Klass
Outside Publication | Article
Richard Morris, Sean Graber, Timothy Levin
LawFlash/Client Alert | Investment Management LawFlash
Richard Morris, John O'Brien, David Freese, Kaitlyn Piper, Sean Graber, Timothy Levin
Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."
Presentation | Webinar
David McManus, Jennifer Klass, Michael Philipp
LawFlash/Client Alert | Investment Management LawFlash
Zachary Vonnegut-Gabovitch, Richard Morris, John O'Brien, David Freese, Sean Graber, Timothy Levin
Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement priorities.
Presentation | Speech
Morgan Lewis presentd the Sixth Annual Advanced Topics in Hedge Fund Practices Conference: Manager and Investor Perspectives. The event feautred an in-depth discussion of U.S. and international advanced hedge fund topics. Th... more
LawFlash/Client Alert | Investment Management LawFlash
Richard Morris, John O'Brien
Interpretive letter outlines the conditions for the use of exchange-traded product marketing materials containing pre-inception index performance, including disclosure requirements, performance presentation standards, and a limitation on distribution to only institutional investors.
LawFlash/Client Alert | Investment Management LawFlash
Dana Westfall, P. Georgia Bullitt, Michael Philipp, Michael Piracci
Standards for banking organizations regulated by the Federal Reserve for Retail Forex are generally comparable to rules adopted by other regulators.
LawFlash/Client Alert | Investment Management and Private Investment Funds LawFlash
William Yonge
The Financial Conduct Authority and the Prudential Regulation Authority begin work as the two new regulators in the wake of the long-heralded abolition of the Financial Services Authority.
LawFlash/Client Alert | Global Financial Services & Compliance LawFlash
Rebecca Leon
Argentina signs the OECD Convention, but it does not obtain automatic access to financial information.
Presentation | Speech
Grace Speights, Anne Flannery, Ben Indek, Michele Coffey, Robert Mendelson, Steven Stone
Morgan Lewis provided a strong presence at the SIFMA Compliance & Legal Society's 45th Annual Seminar with six partners speaking in separate sessions March 18–20. Representing the Litigation Practice, partner Michel... more
Presentation | Speech
Michael Piracci
Investment Management of counsel Michael Piracci (NY) participated in a recent panel presentation at the inaugural Forex Industry conference in New York, NY on March 20th, 2013. The panel, "Taming the Wild West: The Impact of Glo... more
Outside Publication | Article
William Yonge
Presentation | Webinar
Ivan Harris, Jennifer Klass, Steven Stone, Sarah Bouchard
On March 14, 2013, Morgan Lewis co-hosted with MMI for the Legal and Compliance Committee webinar "SEC Enforcement 2012 Year in Review: Implications for Managed Accounts." Topics covered included a summary of important case... more
Presentation | Speech
Christine Lombardo, Jennifer Klass
LawFlash/Client Alert | Investment Management LawFlash
Torsten Schwarze
Act regulates high-frequency trading firms and certain trading activities to address concerns about their potential impact on market stability.
LawFlash/Client Alert | Investment Management LawFlash
Richard Morris, Rebecca Leon
U.S. sponsors should be aware of local restrictions before offering shares.
Presentation | Webinar
Michael Piracci, Dana Westfall, Jedd Wider, Michael Philipp
Morgan Lewis presented this Hedge Fund UniversityTM webinar series, which discussed recent commodity regulatory developments that are pertinent to managers of commodity pools. Our panelists addressed U.S. Commodi... more
Presentation | Webinar
Richard Morris, Joshua Blackman, Ivan Harris, Jennifer Klass, Thomas Linthorst
Morgan Lewis's Investment Management Practice presented this timely discussion of key developments in the SEC's enforcement program, including a summary of important cases against investment advisers, private fund advisers, and... more
Outside Publication | Article
Jennifer Klass, Ben Indek
LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Daniel Kleinman
New guidance defers to the Dodd-Frank/CFTC framework for regulating the swaps clearing process.
Presentation | Speech
Richard Morris
Outside Publication | Article
Michael Piracci, Dana Westfall, Michael Philipp
A detailed explanation of the Commodity Futures Trading Commission's (CFTC's) Division of Swap Dealer and Intermediary Oversight's (DSIO) no-action letters providing relief from Commodity Pool Operator (CPO) registration for family offices and fund of funds operators.
LawFlash/Client Alert | Securities LawFlash
Richard Morris, Jennifer Klass, Mary Dunbar, Ivan Harris, Ben Indek, Anne Flannery
In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC enforcement docket and FINRA bringing a record number of enforcement actions against its member firms and associated persons.
Morgan Lewis Title | White Paper
James Doench, Richard Morris, Katherine Milgram, Kaitlyn Piper, Jennifer Klass, Namita Mani, Kimberly Hicks, Julia Miller, Heather Hopkins, Anne Flannery, Lindsay Jackson, Katarzyna Mularczyk, Ivan Harris, Julie Marcacci, Todd Smith, Joshua Blackman, Kerry Land, Mary Dunbar, Nicholas Losurdo, John Matthews, David Behar, F. Mindy Lo, Zachary Vonnegut-Gabovitch, Ben Indek
This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during 2012. ... more