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Presentation | Speech
Andrew Donohue
Topics discussed included: Dodd-Frank Act Rules Funds' use of derivatives Target Date Fund Rules Shareholder reports simplification more
LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, I. Lee Falk, Donald Myers, Craig Bitman, Daniel Kleinman
Final regulation provides a number of helpful clarifications and changes, but continues to impose what will be a highly burdensome disclosure framework.
Outside Publication | Article
Andrew Donohue
Morgan Lewis Title | White Paper
Investment Management Practice
This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") enforcement developments and cases involving investment advisers and investment companies during 2011. Summary of Key Statist... more
LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Donald Myers, Daniel Kleinman
Final regulation on required disclosures by plan service providers extends deadline for disclosures to July 1, 2012.
Presentation | Speech
Anne Flannery, Andrew Donohue, Jennifer Klass, Steven Stone
Morgan Lewis Title | White Paper
E. Andrew Southerling, Shaina Stahl, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, David Snider, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Ivan Harris, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao
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 2011. ... more
Outside Publication | Article
Thomas Harman, John O'Brien
This article was first published as a chapter in The US Private Equity Compliance Companion by PEI. For more information, see http://www.peimedia.com. Introduction Private equity ... more
LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Marianne Yudes, I. Lee Falk, Carly Grey
The IRS announces that, pending further action by the DOL, indemnification arrangements described in AO 2011-09A will not be considered prohibited transactions.
Presentation | Speech
W. John McGuire
Morgan Lewis partner, W. John McGuire, will serve as a panelist, presenting Spotlight on ETFs at the ICI Securities Law Developments Conference, Washington, D.C. more
LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Steven Spencer, Craig Bitman, Donald Myers, Daniel Kleinman, I. Lee Falk, Steven Stone
On October 20, the Employee Benefits Security Administration of the U.S. Department of Labor (DOL) issued Advisory Opinion 2011-09A (AO 2011-09A), in which it concludes that relief under Prohibited Transaction Class Exemption 80... more
LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Employee Benefits and Investment Management Practices
The U.S. Department of Labor (DOL) has adopted a final regulation to implement the statutory exemption from the prohibited transaction rules of the Employee Retirement Income Security Act of 1974, as amended (ERISA), for the pro... more
LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Thomas Harman, Donald Myers, David Sirignano
The Division of Investment Management of the U.S. Securities and Exchange Commission (SEC) recently issued a no-action letter to the U.S. Department of Labor (DOL), taking the position that disclosures required by a DOL regulati... more
LawFlash/Client Alert | Investment Management LawFlash
John O'Brien, Monica Parry, Ethan Johnson
On October 26 and October 31, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC), respectively, approved rules that will require certain investment advisers to report extensive info... more
LawFlash/Client Alert | Employee Benefits LawFlash
Michael Richman, Daniel Kleinman
According to Department of Labor (DOL) officials, the agency will soon publish a "final" final regulation on required disclosures by plan service providers under the statutory prohibited transaction exemption provided by Section... more
Presentation | Speech
Andrew Donohue
LawFlash/Client Alert | Investment Management and Restructuring LawFlash
Joshua Blackman, Robert Mendelson
On October 31, the Securities Investor Protection Corporation (SIPC) filed for a protective order under the Securities Investor Protection Act (SIPA) for MF Global Inc., a company registered jointly as an Securities and Exchange... more
LawFlash/Client Alert | Investment Management LawFlash
John O'Brien, Ethan Johnson
On October 11 and 12, several federal agencies jointly released proposed rules that would implement the so-called "Volcker Rule."[1] The Volcker Rule, which prohibits "banking entities" from... more
Presentation | Speech
John O'Brien
LawFlash/Client Alert | Investment Management LawFlash
Investment Management Practice
On October 11, the Financial Stability Oversight Council (the Council) released a second notice of proposed rulemaking and proposed interpretive guidance for determining whether a nonbank financial company would be subject to th... more
Presentation | Speech
Steven Stone
Presentation | Speech
Anne Flannery, David Sirignano, Andrew Donohue, P. Georgia Bullitt, W. John McGuire, John O'Brien
Outside Publication | Article
Jennifer Klass, F. Mindy Lo
Presentation | Speech
Andrew Donohue, John O'Brien, P. Georgia Bullitt, Christian Mixter, Timothy Levin, Joseph Floren, W. John McGuire, Thomas Harman, David Sirignano, Michael Piracci