Jeanne Waters

Eversheds Sutherland (US) LLP

+ Follow Contact

Latest Posts › Disclosure Requirements

Share:

SEC’s focus on compliance: What boards should know

Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of their service providers, including their investment advisers (advisers), annually....more

12/29/2021 / Chief Compliance Officers , Compliance , Disclosure Requirements , Investment Adviser , Investment Advisers Act of 1940 , Investment Funds , Policies and Procedures , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC)

SEC proposes amendments to AFFE and advertisements: What this means for BDCs and the potential for a return to indexes

On August 5, 2020, the Securities and Exchange Commission (SEC) announced proposed modifications (the Proposed Rule) to the disclosure framework for mutual funds and exchange-traded funds (ETFs) registered on Form N-1A...more

8/17/2020 / Business Development Companies , Closed-End Funds , Disclosure Requirements , ETFs , Mutual Funds , Popular , Proposed Rules , Securities and Exchange Commission (SEC)

SEC Proposes Disclosure Rules on Director, Officer and Employee Hedging

In April 2015, the comment period expired for rules proposed by the U.S. Securities and Exchange Commission (the SEC) to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank...more

6/11/2015 / Disclosure Requirements , Dodd-Frank , Equity Securities , Forward Contracts , Hedging , Regulation S-K , Section 14(j) , Securities and Exchange Commission (SEC) , Securities Exchange Act

3 Results

View per page

Page: of 1