The past year has been mixed for alternative funds. In the hedge fund space, industry assets under management increased by $70 billion to $3.22 trillion, despite lackluster overall returns and noisy withdrawals by certain institutional investors. In the private equity
Schulte Roth & Zabel LLP
Schulte Roth & Zabel LLP is a law firm that publishes blogs focusing on regulatory and compliance issues affecting financial services and investment management. Their content covers updates and analyses on securities laws, investment company regulations, sanctions, and financial industry rules such as the Volcker Rule and LIBOR transition. The firm provides insights into developments from regulatory bodies like the SEC, OFAC, and other financial regulators. Their publications aim to inform legal and financial professionals about changes in the regulatory landscape and their implications for investment funds, ETFs, and financial institutions.
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Untapped Opportunities in the Registered Alternative Closed-End Fund Space
An increasing number of private fund managers are turning to alternative products registered under the Investment Company Act of 1940 as a means of growing their assets under management and diversifying their product offerings and revenue streams.
Click here for special…
Investor Remedies: The Importance of Key-Person Provisions
In a typical private equity fund, investors are making capital commitments to a limited partnership that will be drawn down over a number of years at the direction of the general partner of the limited partnership. The structure of the…
SRZ Insights: Changes to Form ADV
By Bryan Daly
In this SRZ Insights video, partner Brian Daly discusses the potential impact of Form ADV amendments on U.K. investment managers. He addresses key aspects of the major changes — including how the biggest change impacts the use of the client-…
Business Development Company Update: Excessive Fees Lawsuit Against Adviser Dismissed
A decision issued on Jan. 24, 2017, in the U.S. District Court for the Southern District of New York dismissed a complaint alleging the payment of excessive advisory and administration fees by Prospect Capital Corporation, a business development company regulated…
New EMIR Variation Margin Requirements
From 1 March 2017, the new variation margin rules for over-the-counter derivatives contained in the regulatory technical standards adopted by the European Commission will apply to certain European counterparties.
In anticipation of the 1 March deadline, European counterparties (and any…
SRZ Insights: Innovative Investment Vehicles
In this SRZ Insights video, partners Daniel F. Hunter, John J. Mahon and Craig Stein address alternatives to traditional hedge funds, discussing three innovative vehicles for increasing AUM in today’s market: risk retention vehicles, business development companies and insurance-dedicated
SRZ Insights: Section 16(b) Reporting
In this SRZ Insights video, partners Eleazer Klein and Michael E. Swartz discuss the impact of Section 16(b), the short-swing profit rule that requires corporate insiders to disgorge any profits from trades made within six months of each other. In…
SRZ Insights: ERISA Update
In this SRZ Insights video, partner David M. Cohen discusses the potential impact of the Department of Labor’s fiduciary duty regulation on hedge funds. Though the new rule mostly focuses on retail investors, it could have impact on hedge funds…
MiFID II and MiFIR: Q&A with Schulte Roth & Zabel’s London Office
In this interview with The Hedge Fund Journal, London partner Anna Maleva-Otto discusses challenges associated with MiFID II provisions for asset managers, including modifications to commission and research processes. Anna also addresses the full scope of MiFID II and the…