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News

Joint SEC-CFTC proposal would overhaul Form PF reporting

The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) proposed joint amendments to Form PF, a confidential reporting form required of certain ...

News

SEC releases long-awaited ESG proposal for investment companies and investment advisers

On 25 May, the Securities and Exchange Commission (the SEC) introduced a proposal to amend certain rules and forms under the U.S. Investment Advisers Act of 1940 (the Advisers Act) and ...

News

SEC releases 2022 examination priorities with focus on private funds

On March 29, the Division of Examinations (the Division) within the U.S. Securities and Exchange Commission (the SEC) released its annual list of examination priorities for investment...

News

SEC proposes reforms to enhance private fund transparency

The U.S. Securities and Exchange Commission (SEC) proposed new rules promulgated under the U.S. Advisers Act of 1940 (the Advisers Act) on Wednesday, 9 February 2022. Pointing to over US$18 ...

Publications

SEC proposes narrow broker-dealer registration exemption for finders
Registered Content

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...

Insights and Analysis

SEC amends rules to expand on definition of "accredited investor"
Registered Content

The U.S. Securities and Exchange Commission (SEC) adopted amendments on Wednesday, August 26 to several rules under the U.S. Securities Act of 1933 (Securities Act) to modernize, expand,...

Hogan Lovells Publications

Funds Bulletin, March 2017

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our analysis of the government's response to the House of Lord's report ...

Publications

Funds Bulletin, February 2017

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our summary of the FSCP's position paper on the impact of Brexit on...

Publications

Trump Administration Moves on the Dodd Frank Act

As predicted during the campaign and after his win in November, President Trump has set his sights on overhauling the financial regulatory system. On February 3, 2017, President Trump...

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