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Articles by Stephanie Capistron
ETF Share Class: ICI Highlights Key Operational Considerations
David P. Bartels’s articles from Dechert are most popular: in United States Dechert are most popular: within Wealth Management, Tax and Criminal Law topic(s) with readers working within the Banking & Credit industries The Investment Company Institute recently published a white paper detailing operational, governance, and disclosure considerations for industry stakeholders in implementing a structure offering an ETF share class within an existing mutual fund.
SEC Issues Notice Of Intent To Grant ETF Share Class Relief
D Dechert More Dechert is a global law firm that advises asset managers, financial institutions and corporations on issues critical to managing their business and their capital – from high-stakes litigation to complex transactions and regulatory matters. We answer questions that seem unsolvable, develop deal structures that are new to the market and protect clients' rights in extreme situations.
SEC Rulemaking: Good Faith Determinations of Fair Value Under the Investment Company Act | JD Supra
The U.S. Securities and Exchange Commission on December 3, 2020 adopted a long-anticipated rule for the fair valuation of fund investments.
Newsflash: SEC Adopts Fund Fair Valuation Rule | JD Supra
On December 3, 2020, the U.S. Securities and Exchange Commission adopted a long-anticipated rule for the fair valuation of fund investments.1 Rule 2a-5 under the Investment Company Act of 1940 (final rule) establishes requirements for good faith determinations of fair value, and addresses both the board’s and the “valuation designee’s” role and responsibilities relating to fair valuation. The SEC declined to reframe Rule 2a-5 as a safe harbor, as some commenters had suggested.
SEC Rule Proposal: Good Faith Determinations of Fair Value Under the Investment Company Act | JD Supra
The U.S. Securities and Exchange Commission on April 21, 2020 proposed a long-anticipated framework for fair valuation of fund investments. Proposed Rule 2a-5 under the Investment Company Act of 1940 would establish requirements for good faith determinations of fair value and would address roles and responsibilities for both fund boards and fund advisers relating to fair valuation.
Newsflash: SEC Proposes Fund Valuation Rule | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Newsflash: SEC Grants Requests to Automatically List Rule 6c-11 ETFs | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Financial Services Quarterly Report - Third Quarter 2019: U.S. SEC Adopts Final ETF Rule and Issues Related Exchange Act Relief | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Adopts Final ETF Rule and Issues Related Exchange Act Relief | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Financial Services Quarterly Report - Second Quarter 2019: SEC Grants Exemptive Relief to Operate Non-Fully Transparent Active ETFs | JD Supra
The U.S. Securities and Exchange Commission on May 20, 2019 issued the first exemptive order permitting the operation of actively managed exchange-traded funds that do not disclose their full holdings on a daily basis (Precidian Order).1 The issuance of the Precidian Order is a significant development for active managers that may be interested in launching ETFs but have been deterred by the requirement to make their holdings available to the market each day.
SEC Provides No-Action Relief for Index-Based Funds to Exceed Diversification Limits without Obtaining Shareholder Approval | Lexology
The Staff of the SEC’s Division of Investment Management (Staff) has issued a no-action letter permitting registered open-end and exchange-traded index-based funds to exceed the limits of a “diversified company,” as defined in the Investment Company Act of 1940, in certain circumstances, without obtaining shareholder approval.1 As described below, this relief relates to situations where, due to changes in relative market capitalization and weightings of certain issuers in a fund’s benchmark...
SEC Provides No-Action Relief for Index-Based Funds to Exceed Diversification Limits without Obtaining Shareholder Approval | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Issues ETF Rule Proposal | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
SEC Proposes Rule to Allow Most ETFs to Operate without Exemptive Relief | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Financial Services Quarterly Report - Second Quarter 2018: U.S. SEC Issues ETF Rule Proposal | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Fifth Circuit Opinion Vacates DOL Fiduciary Rule | JD Supra
Several implications of the Opinion are particularly significant for the financial services industry, especially as financial services firms await further clarity from regulators on fiduciary (including “best interest”) standards. The next steps for financial services firms in the market will likely depend on procedural developments over the coming months. The DOL and Department of Justice (DOJ) have until April 30 to seek a rehearing at the Fifth Circuit level.
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