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SEC Modernization in Plain English: Decoding the Regulation

Practical points on managing SEC Modernization. INTRODUCTION - On October 13, 2016, the Securities and Exchange Commission (SEC) issued its final Investment Company Reporting Modernization rules and forms for the...more

SEC Applies Advisers Act Provisions to Nonadvisor Fund Service Providers

The SEC continues to expand the scope of responsibilities and standards applicable to gatekeepers. In an application of the Investment Advisers Act of 1940 (Advisers Act) to the actions of a nonadviser fund service...more

SEC Proposes New Rule Governing Funds' Use of Derivatives

The proposed rule would establish the exclusive means through which funds could enter into certain leveraged transactions, including swaps, futures, reverse repurchase agreements and short sales. At an open meeting of...more

SEC Releases First Cybersecurity Enforcement Action for Failure to Protect Client Data

The SEC’s focus in the action was not on the manner of the firm’s responses to the breach or whether there was any actual harm, but predominantly on the adequacy of the firm’s written policies for safeguarding customer...more

The SEC Releases the First Distribution-In-Guise Enforcement Action Concerning Fund Assets Used to Pay For Marketing and...

The SEC’s order provides significant guidance on how the SEC staff will scrutinize the propriety of payments made pursuant to commonly occurring agreements between mutual funds and their service providers and with respect to...more

CFTC Adopts Final Harmonization Rules For Registered Investment Companies Dually Registered As Commodity Pool Operators

Eighteen months after amending CFTC Regulation 4.5 to narrow the registered investment company (RIC) exclusion from the definition of commodity pool operator (CPO) and issuing a companion release proposing to amend certain...more

8/14/2013  /  CFTC , CPO , NFA , Registration , RICs , SEC

U.S. District Court Rebuffs ICI Challenge To CFTC Rule 4.5 Amendments

On December 12, 2012, the U.S. District Court for the District of Columbia released its decision in Investment Company Institute v. U.S. Commodity Futures Trading Commission, rebuffing the Investment Company Institute (ICI)’s...more

12/14/2012  /  CEA , CFTC , CPO , CTA , Investment Adviser

FSOC Recommends and Seeks Comment on Money Market Mutual Fund Reform

On November 13, the Financial Stability Oversight Council (FSOC) voted unanimously to advance its report entitled “Proposed Recommendations Regarding Money Market Mutual Fund Reform.” FSOC was established by the Dodd-Frank...more

11/19/2012
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