The Staff of the U.S. Securities and Exchange Commission (SEC) on March 8, 2017 issued a no-action letter (Staff Letter) in response to a request from Dechert LLP for assurance under Section 12(d)(1) of the Investment Company...more
4/18/2017
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
Foreign Currency ,
Global Market ,
Hedging ,
International Tax Issues ,
Investment Company Act of 1940 ,
Investment Funds ,
Investment Management ,
No-Action Letters ,
Non-US Feeder Funds ,
Registered Investment Companies (RICs) ,
Section 12(d)(1) ,
Securities and Exchange Commission (SEC) ,
UCITS ,
Underwriting
Earlier today, the U.S. Securities and Exchange Commission (SEC) unanimously adopted a new rule and amendments to certain rules and forms that will require registered open-end investment companies, including mutual funds and...more
10/14/2016
/ Amended Regulation ,
Disclosure Requirements ,
Form N-PORT ,
Investment Companies ,
Investment Management ,
Liquidity Risk Management Rule ,
New Regulations ,
Registered Investment Companies (RICs) ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swing Pricing