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Articles by Clair E. Pagnano
Out With The Old, In With The New – SEC Scraps Swing Pricing Proposal, Removes Redemption Gates, And Mandates Liquidity Fees For Money Market Funds - Shareholders - United States
In a surprising change, the SEC heeded the cacophony of opposition to swing pricing, but instead threw the industry a curveball by requiring mandatory liquidity fees for institutional prime and institutional tax-exempt money market funds. Mandatory liquidity fees were not discussed in detail in the proposing release, but rather suggested as an alternative among a long list of requests for comments in the proposal.
CFTC Issued RFI Public Comments On Climate- Related Financial Risk
On June 2, 2022, the Commodities Futures Trading Commission (CFTC) issued a Request for Information ("RFI") for "public comment on climate-related financial risk to better inform its understanding and oversight of climate-related financial risk as pertinent to the derivatives markets and underlying commodities markets." According to the RFI, the CFTC is contemplating "potential future actions including, but not limited to, issuing new or amended guidance, interpretations, policy statements,...
Big Law Redefined: Episode 1 | The New Frontier of Fair Lending: 2022 Enforcement Trends and Emerging Risks [PODCAST]
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A Fund By Any Other Name: SEC Proposes Names Rule Amendments | JD Supra
May 27, 2022 Jennifer DiNuccio, Cal Gilmartin, Clair Pagnano, Fatima Sulaiman K&L Gates LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: I. Summary On 25 May 2022, the U.S. Securities and Exchange Commission (the SEC) proposed amendments (the Proposed Amendments) to Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940, as amended in its release entitled “Investment Company Names”1 (the Proposing Release).
A Fund by Any Other Name: SEC Proposes Names Rule Amendments
I. SUMMARY On 25 May 2022, the U.S. Securities and Exchange Commission (the SEC) proposed amendments (the Proposed Amendments) to Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940, as amended in its release entitled “Investment Company Names”1 (the Proposing Release).
SEC Proposes Swing Pricing for Institutional Money Market Funds | JD Supra
[co-author: Wil Dietz] Sections I. Introduction II. Key Requirements for Swing Factor Implementation III. When a Swing Factor Must Be Applied IV. Calculation of the Swing Factor V. The President’s Working Group 2020 White Paper and Prior Industry Reactions to Swing Pricing VI. Requests for Comment I.
SEC Proposes Another Round of Money Market Fund Reforms | JD Supra
[co-author: Wil Dietz] Sections Executive Summary Proposed Rule 2a-7 Amendment Amendments to Portfolio Liquidity Requirements Removing Liquidity Fees and Redemption Gates Provisions Swing Pricing Requirement Amendments Related to Potential Negative Interest Rates Conversion to Floating NAV Reverse Distribution Mechanisms and Other Similar Methods Amendments to Specify the Calculation of Weighted Average Maturity (WAM) and Weighted Average Life (WAL) Amendments to Stress Testing Requirements...
Managing retail funds in USA | Lexology
Retail funds Available vehicles What are the main legal vehicles used to set up a retail fund? How are they formed? US law does not require registered funds to be organised using a particular corporate form. In practice, registered funds are typically organised under state law as Massachusetts business trusts, Delaware statutory trusts or Maryland corporations. In addition, the 1940 Act requires registered funds to establish a board of directors or trustees (the board).
Managing non-retail pooled funds in USA | Lexology
Non-retail pooled funds Available vehicles What are the main legal vehicles used to set up a non-retail fund? How are they formed? Most funds that are excluded from regulation under the 1940 Act are referred to as private funds, regardless of the investment strategy pursued by the fund. Private funds may be organised in various forms, including as limited partnerships, limited liability companies (LLCs) and statutory trusts. Private funds are also frequently organised in non-US jurisdictions.
Fund management in USA | Lexology
Fund management regulation Regulatory framework and authorities How is fund management regulated in your jurisdiction? Which authorities have primary responsibility for regulating funds, fund managers and those marketing funds? The US Securities and Exchange Commission (SEC) is the regulatory authority primarily responsible for oversight of fund management and securities offerings in the United States.
Fund Management in the USA | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Fund management regulation Regulatory framework and authorities How is fund management regulated in your jurisdiction? Which authorities have primary responsibility for regulating funds, fund managers and those marketing funds?
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