The SEC’s form and rule amendments require 1940 Act funds to enhance their periodic portfolio reporting. The SEC also provided guidance regarding liquidity risk management programs, add...
The amendments broaden the scope of the requirement for registered investment companies and business development companies (BDCs) to adopt a policy to invest at least 80% of the value of ...
The SEC’s amendments to Form PF include new event reporting requirements for large hedge fund advisers within 72 hours of the occurrence of certain events, and for private equity fund a...
The SEC’s proposed amendment would expand the current custody rule under the Advisers Act to cover a broader array of client assets and advisory activities and impose new custodial prot...
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...
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...
The SEC’s proposed new oversight rule and rule amendments under the Investment Advisers Act of 1940 (Advisers Act) prohibit registered investment advisers from outsourcing certain servi...
