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...
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...
The SEC’s proposed new rules and amendments include new requirements related to quarterly statements, private fund audits, adviser-led secondaries, prohibited activities, preferential t...
The SEC’s proposed amendments to Form PF include new current reporting requirements for large hedge fund advisers and private equity fund advisers within one business day of certain sig...
Rules and Regulations
CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency Transactions
Industry Update
SEC Announces Updates to Form N...
