To address data sensitivity concerns, the Securities and Exchange Commission on February 27, 2019 issued an interim final rule (Interim Rule) that requires certain registered investment companies (funds) to file three monthly...more
3/14/2019
/ Cybersecurity ,
Data Protection ,
EDGAR ,
Filing Deadlines ,
Form N-LIQUID ,
Form N-PORT ,
Interim Final Rules (IFR) ,
Investment Companies ,
Modification ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Sensitive Business Information
The staff of the U.S. Securities and Exchange Commission’s (SEC) Division of Investment Management (Staff) on July 18, 2017, released answers to frequently asked questions (FAQs) about the rules and forms relating to...more
8/3/2017
/ Amended Rules ,
Debt Securities ,
Derivatives ,
Filing Deadlines ,
Filing Requirements ,
Form N-CEN ,
Form N-PORT ,
Investment Companies ,
Money Market Funds ,
Public Disclosure ,
Registered Investment Companies (RICs) ,
Regulation S-X ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Updated Forms
The initial compliance dates are rapidly approaching for new disclosure requirements adopted by the U.S. Securities and Exchange Commission (SEC) for registered investment company (funds). All initial registration statement...more
5/6/2017
/ Compliance ,
Disclosure Requirements ,
Filing Deadlines ,
Lending ,
Liquidity Risk Management Rule ,
Registration Statement ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Securities Funding ,
Share Redemption ,
Shareholders