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- Investment Firm Chieftain Capital to Split: Media
- NEW YORK (Reuters) - Chieftain Capital Management, an investment firm with about $3 billion in assets, is breaking up following a rift among its managers, the Wall Street Journal reported on its website on Sunday.Glenn Greenberg, a co-founder, plans to stay at the firm, which will be renamed Brave Warrior...
- News items 2009-11-22
- Capital Markets Regulatory Highlights: February 2003
- This article provides insight on current regulatory issues including: SEC Final Regulation Analyst Certification; SEC Proposed Rules Regarding Compliance Infrastructure at Investment Advisers and Registered Investment Companies; Federal Reserve Interpretation Regarding Foreign Bank Underwriting of Securities Distributed in the U.S.; SEC Final Rule Addressing Bank Exemption from Dealer Registration; SEC...
- White papers 2003-02-28
- Capital Markets Regulatory Highlights Vol. 5
- This article includes: SEC issuing rules implementing the Sarbanes-Oxley Act; Proposed rule on SAR reporting for mutual funds; Report to Congress on applying the USA Patriot Act to investment companies; NASD notice to members regarding sale of hedge funds to retail investors; and SEC final rule on transactions of investment...
- White papers 2003-01-31
- Certification of Registered Investment Company Annual and Semi-Annual Reports
- The implementation of Section 302 of the Act is to registered investment companies by adopting new Investment Company Act Rule 30a-2. This rule requires a registered investment company that files periodic reports under Section 13a or 15d of the Exchange Act (that is, Form N-SAR) to include the certification specified...
- White papers 2002-11-13
- SEC Implements Internal Control Provisions Of Sarbanes-Oxley Act; Adopts Investment Company R&D Safe Harbor
- The Securities and Exchange Commission's has voted to adopt rules concerning management's report on internal control over financial reporting and certification of disclosures in Exchange Act periodic reports. The Commission also consider to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...
- White papers 2003-01-22
- How The New Rules Affect Investment Companies And Investment Advisers
- The Sarbanes-Oxley Act of 2002 significantly has changed the regulatory environment for public companies. At open meetings held on January 22 and 23, 2003, the SEC approved new rules and rule amendments implementing some important provisions of the Sarbanes-Oxley Act. Kramer Levin attorneys summarize recent developments as they relate to...
- White papers 2003-01-01
- SEC Approves New Rule on Internal Control Reporting
- The Securities and Exchange Commission has voted to adopt rules concerning management's report on internal control over financial reporting and certification of disclosures in Exchange Act periodic reports. The Commission also voted to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...
- White papers 2003-05-30
- Final Rule: Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports and Other Aspects
- The Securities and Exchange Commission is adopting rule and form amendments that require registered management investment companies to file certified shareholder reports on Form N-CSR with the Commission, and designating these certified reports as reports that are required under Sections 13a and 15d of the Securities Exchange Act of 1934...
- White papers 2003-01-01
- Compliance Programs for Unregistered Investment Companies
- The Patriot Act enhances the powers of the federal government and law enforcement organizations to combat money laundering and terrorism. The new law is very broad and covers not only traditional financial institutions, but also non-bank financial institutions. On September 18, 2002, the U.S. Department of Treasury released its Notice...
- White papers 2003-01-01
- Investment Management Update: SEC Takes Action on Fund Advertising, ‘Fund of Funds' Rules
- The Securities and Exchange Commission revised the rules restricting advertising by investment companies, and proposed relaxing the rules that govern investment companies' ability to invest in other investment companies. Article explains Mutual Fund Advertising Rules that states that the revisions eliminate the requirement that advertisements subject to Rule 482 of...
- White papers 2003-10-01
- Anti-Money Laundering Compliance Procedures for Private Investment Companies Under the USA Patriot Act
- The USA PATRIOT Act requires all financial institutions including investment companies which are exempted from the registration requirements of the Investment Company Act of 1940, to implement policies and procedures designed to guard against money laundering.
- White papers 2003-05-15
- Anti-Money Laundering Update #02-2 Compliance Programs for Unregistered Investment Companies
- On September 18, 2002, the U.S. Department of Treasury released its Notice of Proposed Rulemaking to issue regulations prescribing the minimum standards for the implementation of an anti-money laundering program for unregistered investment companies (e.g., hedge funds, commodity pools, private equity funds, venture capital funds and real estate investment trusts)....
- White papers 2003-05-08
- SEC Adopts Rule Requiring Disclosure About Nominating Committees and Communications Between Shareholders and Directors
- Article narrates the rule adopted by SEC for nominating committees and communications between shareholders and directors of the organization. It talks about the changes adopted by SEC to the Proxy Rules to "enhance the transparency of the operation of boards of directors. The new rule requires a statement as to...
- White papers 2003-12-01
- Small Isn't What It Used To Be: The Changing Face Of Smaller Investment Firms
- This article discusses the changing face of smaller investment firms. An astute plan sponsor will recognize that young firms are more likely to be risk-takers. It also may be true that these firms will be more likely to identify innovative strategies that will add value. Everything else being equal, the...
- White papers 2003-01-01
- United States, Changes to the Mutual Funds Regime
- Over the past year, the booming US economy has led to an enormous influx of US investor dollars into mutual funds. This explosion in the popularity of mutual funds has been accompanied by significant changes in the way mutual funds do business. Sophisticated investors have demanded novel investment vehicles to...
- White papers 2003-01-01
- Final Rule: Investment Company Mergers
- The US Securities and Exchange Commission is planning to amend the rule under the Investment Company Act of 1940 that permits mergers and other business combinations between certain affiliated investment companies. The amendments would expand the types of business combinations permitted by the rule and make it available for mergers...
- White papers 2002-07-18
- What The Sarbanes-Oxley Act Means For Registered Investment Companies
- From the executive summary: ‘Many provisions of the Sarbanes-Oxley Act affect the operations of registered investment companies. The Act also imposes additional responsibilities upon investment company officers and directors. However, the provisions of the Act will be determined by interpretation of the courts and regulators. Key provisions of the Act...
- White papers 2002-11-01
- A Large US Based Retail Brokerage and Investment Firm: Providing an Integrated Solution to Manage and Track Customer Requests
- The client is one of the largest US based retail brokerage and investment firm. The key requirements were the need for supporting an evolving business process, customized resource scheduling mechanism for resource forecasting and limited mechanism to capture various metrics like Traffic Light reporting, readiness of the Service request to...
- Case studies
- Investment Advisers and Investment Companies: Focus on Compliance
- Each investment adviser is expected to identify compliance requirements and potential conflicts that create risk to the firm and its clients and to design policies and procedures that address these risks. The fund board of each investment company is required to adopt policies and procedures to provide for the oversight...
- White papers 2005-05-10
- Providing Strategic Insurance Industry Consulting Services to Institutional Investment Firms
- The institutional investment firms, commonly referred to as capital management firms, have significantly grown in number over the last several years. The analysts at these investment management firms need answers to significant technical comments being made by executives of insurers and reinsurers, especially when the institutional investor has a significant...
- White papers 2004-07-01
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