Top of the Agenda - Regulatory

Pinnacle case collapse puts liquidity rule in spotlight
By Hillary Jackson
The Securities and Exchange Commission last week dismissed charges against the defendants in the first-ever case related to enforcement of the liquidity risk management rule adopted in 2016. Defense lawyers argued, in part, that the SEC lacked the necessary congressional authority to enforce the liquidity rule under the Investment Company ...  >> CONTINUE READING <<<

 

 

Viewpoints

Tokenization: Investment potential, trading, and best ex
By Ethan Corey, Michael Koffler, and Carolyn Garcia, Eversheds Sutherland
Tokenization of financial assets has expanded rapidly since the beginning of 2025, even in the absence of regulatory clarity around issues such as custody, trading, and the applicability of transfer agent rules to tokenized assets. The first article in this series examined what tokenization is and how real-world assets are ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Governance

Q&A: Opening the private markets door to retail investors
As the trend toward opening private investment opportunities to retail investors grows, there are a number of issues coming to the forefront for the fund industry—including fund independent directors—to consider. The most common way to provide access is through closed-end funds that have no (or very low) minimum investment thresholds ...  >> CONTINUE READING <<<

 

 

Viewpoints

Tokenization: Benefits, risks, and its impact on fund business
By Ethan Corey, Michael Koffler, and Carolyn Garcia, Eversheds Sutherland
On May 12, the Securities and Exchange Commission Crypto Task Force held a roundtable called “Tokenization: Moving Assets Onchain: Where TradFi and DeFi Meet” at which panelists discussed topics such as how to define tokenization, potential uses for tokenization, the need for regulatory changes to facilitate tokenization, and interoperability among ...  >> CONTINUE READING <<<

 

 

Top of the Agenda - Succession

Who's at the Table? Latest boardroom people moves
FBV's Who's at the Table? feature is where readers can stay up to date on the latest comings and goings in mutual fund boardrooms, as independent directors wrap up their service or take on new roles and responsibilities, and new individuals join the ranks of the fund independent director. Who's ...  >> CONTINUE READING <<<

 

 


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Most Read

10 Things
10 Things...to read in summer 2025

It's officially summertime, which means FBV's annual Summer Reading List is here. We curate the list each year by soliciting recommendations from our readers and friends ...
Top of the Agenda - Governance
ASA board enlarged, timeline to AGM unclear

ASA Gold and Precious Metals Ltd. shareholders voted at a special meeting last week to enlarge the closed-end fund's board and elected a fifth independent director, one ...