Megan Johnson

Megan Johnson

Dechert LLP

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Latest Publications


SEC Adopts New Rules and Rule Amendments to: (1) Require Liquidity Risk Management Programs for Registered Open-End Investment...

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 SEC Swing Pricing

Proposed U.S. Federal Reserve Board Rule’s Impact on Buy-Side Remedies in QFCs with Global Systemically Important Banking...

The Board of Governors of the U.S. Federal Reserve System (Board) recently proposed a rule (Proposed Rule) that will impact parties to any “qualified financial contract” (QFC), as described below, with a global systemically...more

6/16/2016 - FDIC Federal Reserve G-SIB Proposed Regulation Qualified Financial Contracts (QFC)

SEC IM Staff Issues Guidance Update on Disclosure Related to Current Market Conditions

The staff of the U.S. Securities and Exchange Commission Division of Investment Management (Staff) has issued an IM Guidance Update on fund disclosure regarding risks related to current market conditions (Guidance Update)....more

3/30/2016 - Debt Securities Disclosure Requirements Fixed Income Investments Investment Management Market Conditions Puerto Rico Risk Assessment SEC

SEC Proposes to Amend Form ADV and Investment Adviser Recordkeeping Rules

The U.S. Securities and Exchange Commission (SEC or Commission) recently proposed amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule) and other rules under the Investment Advisers Act of 1940, as amended (Advisers...more

7/17/2015 - CCO Disclosure Requirements Dodd-Frank Form ADV Investment Adviser Investment Advisers Act of 1940 RAUM Recordkeeping Requirements Risk Assessment SEC Social Media Umbrella Registration

U.S. SEC Approves Proposals to Modernize Reporting Requirements for Registered Investment Companies and Registered Investment...

The U.S. Securities and Exchange Commission (SEC) today unanimously approved proposals (Proposals) to modernize the reporting of information provided by registered investment companies (funds) and registered investment...more

5/22/2015 - Annual Reports Financial Statements Form ADV Form N-Cen Form N-PORT Form N-SAR Form PF Investment Adviser Investment Companies Private Funds Public Disclosure Regulation S-X Reporting Requirements SEC

Financial Services Quarterly Report - First Quarter 2013: Dealing With Investment Errors: A U.S. Perspective

No professional investment adviser would intentionally make a trade or investment error. However, such errors occur from time to time. Formulating an appropriate response to investment errors can be challenging for investment...more

3/25/2013 - Damages Duty of Care Fiduciary Duty Investment Adviser Reimbursements

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