The SEC’s proposed amendment would expand the current custody rule to cover a broader array of client assets and advisory activities and impose new custodial protections on client asset...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
In this issue, we discuss, among other things, recently adopted rule amendments on proxy voting disclosures by registered funds, “say-on-pay” voting disclosures by institutional inves...
In this issue, we discuss, among other things, recently adopted rule amendments on “say-on-pay” voting disclosures by institutional investment managers and proposed new oversight requ...
The SEC’s newly proposed amendments would require updates to ‘40 Act fund liquidity risk management programs and would require swing pricing for certain funds. The proposal is designed ...
The SEC’s new rule and amendments require registered funds to comply with enhanced and standardized reporting requirements on proxy voting and require institutional investment managers ...
The SEC’s new amendment requires that mutual funds and exchange-traded funds highlight certain key information in annual and semi-annual shareholder reports and provide additional fee a...
