Brenden Carroll

Brenden Carroll

Dechert LLP

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U.S. SEC’s Office of Compliance Inspections and Examinations Issues Risk Alert on Alternative Investment Due Diligence...

U.S. SEC’s Office of Compliance Inspections and Examinations Issues Risk Alert on Alternative Investment Due Diligence Practices - The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and...more

2/5/2014 - Compliance Due Diligence Enforcement Actions OCIE SEC

SEC Charges an Investment Adviser and a Portfolio Manager with Fraud and Causing a Money Market Fund to Violate Rule 2a-7

This OnPoint describes the role of the SEC’s Division of Investment Management (Division) in uncovering the alleged fraud through an analytical review of the Fund’s performance data and portfolio information. It then...more

12/19/2013 - Enforcement Enforcement Actions Fraud Fund Managers Investment Fraud Investor Protection OCIE Portfolio Managers Risk Assessment Risk Management SEC Securities Fraud

Financial Services Quarterly Report - Third Quarter 2013: U.S. SEC’s Proposal to Amend Rules Governing Money Market Funds:...

The U.S. Securities and Exchange Commission (“SEC”) has proposed sweeping amendments to Rule 2a-7 under the Investment Company Act of 1940 (“1940 Act”) and other rules relating to money market funds (“money funds”).1 The...more

10/10/2013 - Disclosure Requirements Investment Company Act of 1940 Liquidity Fees Money Market Funds NAV Redemption Gates SEC Stress Tests

IRS Proposes De Minimis Exception to Wash Sale Rules in Connection with SEC Money Market Fund Floating NAV Proposal

The U.S. Internal Revenue Service (IRS) has proposed a new Revenue Procedure (Proposed Revenue Procedure) regarding the application of the wash sale rules under Section 1091 of the U.S. Internal Revenue Code (Code) to...more

8/1/2013 - Investment Company Act of 1940 IRS Money Market Funds NAV SEC Wash Sale Rules

SEC Proposes Sweeping Amendments to Rules Governing Money Market Funds

The U.S. Securities and Exchange Commission (SEC or Commission) on June 5, 2013 proposed for public comment sweeping amendments to Rule 2a-7 under the Investment Company Act of 1940 and other rules relating to money market...more

6/19/2013 - Amended Regulation Asset Diversification Disclosure Requirements Exemptions Fees FSOC Investment Company Act of 1940 Money Market Funds Redemption Gates SEC

SEC Proposes Amendments to Rules Governing Money Market Funds

On June 5, 2013, the U.S. Securities and Exchange Commission (SEC) unanimously proposed for public comment two alternatives for amending Rule 2a-7 and other rules that govern money market funds under the Investment Company...more

6/7/2013 - Great Recession Investment Company Act of 1940 Money Market Funds NAV SEC

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