News & Analysis as of

Fund Managers Initial Public Offering (IPO)

StoneTurn

5 Positive Investment Trends for Latin America & Mitigating Risk in 2024

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In 2024, Latin America stands out as an optimal destination for investors, marked by a series of positive developments. From tax reforms to lower interest rates, these elements together sketch a promising picture for those...more

K&L Gates LLP

To SPAC or Not to SPAC: A Continuing Conversation with Mid-Sized PE Fund Managers about the SPAC Process (Part II)

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An Introduction to the SPAC IPO Process: In our initial alert (Part I), we provided an overview of key considerations for private equity (PE) mid-sized and emerging managers when deciding whether to launch a SPAC. In this...more

Winstead PC

FINRA Amendments to the Anti-Spinning Rules

Winstead PC on

FINRA Amendments to Rules 5130 and 5131 - The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently effected changes to its rules regarding the purchase, sale, allocation, and distribution of initial equity...more

Dechert LLP

FINRA Issues 2020 Examination Priorities

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The Financial Industry Regulatory Authority published its 2020 Risk Monitoring and Examination Priorities Letter (Priorities Letter) on January 9, 2020. The Priorities Letter identifies four core areas on which FINRA will...more

Dechert LLP

SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules

Dechert LLP on

The Securities and Exchange Commission approved amendments to the Financial Industry Regulatory Authority New Issue Rule (Rule 5130) and Anti-Spinning Rule (Rule 5131) (collectively, Rules) on November 5, 2019...more

BCLP

The FCA’s first competition law fines – what can we learn?

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On 21 February 2019, the FCA issued its first competition law infringement decision since it was given competition law powers on 1 April 2015. Three asset management firms were found to have shared strategic information...more

Proskauer - The Capital Commitment

Valuation of Illiquid Portfolio Investments – Avoiding Regulatory Risks with Form and Substance

For private fund managers, the valuation of privately-held securities has been subject to heightened regulatory scrutiny. As the IPO on-ramp for private “unicorn” investments has lengthened, fund managers may hold illiquid...more

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