Comment Letter on the Outsourcing by Investment Advisers
Please find below our Comment Letter on the U.S. Securities and Exchange Commission (“SEC” or “Commission”) under the Investment Advisers Act of 1940 (“Advisers Act”)
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What the SEC’s Private Fund Rule Means for CLOs
LSTA GC Elliot Ganz homes in on how the SEC’s proposed private funds disclosure rule would affect CLOs (Hint: Not well)
The New Investment Adviser Advertising Rule
By Elliot Ganz. This week the LSTA hosted an informative, deep dive, into the SEC’s new rules under the Investment Advisers Act.
The New Investment Adviser Marketing Rule: Everything You Need to Know Presentation
Last December, the SEC adopted significant amendments to its existing rules under the Investment Advisers Act governing advertising by investment advisers and cash payments to…
The New Investment Adviser Marketing Rule: Everything You Need to Know Webcast Replay
Last December, the SEC adopted significant amendments to its existing rules under the Investment Advisers Act governing advertising by investment advisers and cash payments to…
The LSTA Weighs in on SEC’s Investment Adviser Advertising and Solicitation
Recently, the LSTA submitted a so-called “me-too” comment letter in response to a proposed rule published by the SEC late last year (the “Proposals”) impacting…
The SEC Speaks on Custody for Loans
As we have previously discussed, in February 2017 the SEC’s Division of Investment Management staff took the position that registered investment advisers that trade loans…
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