Nick Ward

Dechert LLP

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Analysis of the SEC’s Final Rulemaking to Regulate the Use of Derivatives and Other Transactions by Registered Investment...

The U.S. Securities and Exchange Commission on October 28, 2020 approved by a 3-2 vote a new rule and rule and form amendments related to the use of derivatives and certain other transactions by registered investment...more

11/24/2020  /  Business Development Companies , Derivatives , Investment Funds , Registered Investment Companies (RICs) , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Transactions

Annex IV Reporting - AIFMD Reporting Changes

Currently a non European Economic Area (EEA) Alternative Investment Fund Manager (AIFM) which markets a non-EEA feeder fund in the UK only has to report article 24(2) data (which forms part of the Annex IV reporting...more

3/3/2017  /  AIF , AIFM , Alternative Investment Fund Managers Directive (AIFMD) , European Economic Area (EEA) , Financial Conduct Authority (FCA) , Fund Managers , Investment Funds , Reporting Requirements , UK
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