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Financial Services Industry Financial Transactions Investment Management

Cadwalader, Wickersham & Taft LLP

A Truly Bingeworthy Series July 2024 - Some Key Considerations When Lending to a Master-Series Fund

Master-series funds are definitely not on our desks on a daily basis; however, they do arise from time to time, and certainly as transactions are becoming more and more bespoke. Care should be taken by lenders when lending to...more

Troutman Pepper

Securities Industry Arbitrations and Litigation Update: FINRA Reaffirms Its Commitment to Enforcement Actions In Connection with...

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Mindful of the impending retirement of many millions of investors in the “baby boomer” generation, which hold a substantial amount of the world’s wealth, the Financial Industry Regulatory Authority (FINRA) continues to...more

Cadwalader, Wickersham & Taft LLP

UK Government Considering Expansion of Investment Transactions List to Include Crypto-Assets

The UK Government has announced a public consultation regarding the possible expansion of the UK’s investment manager exemption (“IME”) to encompass crypto-assets. The IME enables UK-based fund managers to provide...more

Manatt, Phelps & Phillips, LLP

[Webinar] Rock Around the Block: Blockchain and Cryptocurrency Transaction and Regulatory Updates for 2021 - March 25th, 2:00 pm -...

It’s already been an epic year for blockchain, and it’s only March. As blockchain technology and digital currency companies are dominating today’s headlines, and more traditional companies get involved, what’s next for this...more

Seyfarth Shaw LLP

SEC Proposes New Rules that would Exempt Certain “Finders” from Registration as Brokers

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Seyfarth Synopsis: The Securities and Exchange Commission currently takes the view that "finders" who introduce potential investors to a company must register as brokers if they receive compensation based on the amount of...more

Hogan Lovells

SEC proposes narrow broker-dealer registration exemption for finders

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The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain “finders” from broker-dealer registration under Section 15(a) of the U.S. Securities...more

Mayer Brown Free Writings + Perspectives

Top 10 Practice Tips: Liability Management Transactions

This practice note provides 10 practice tips that can help you as counsel to an issuer seeking to engage in a liability management transaction. Given recent market volatility, issuers in a wide range of industry sectors may...more

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