Form PF — What Purpose?
SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more
Board Oversight of Distribution and Financial Intermediaries -
One of the SEC’s stated focuses is on payments for “distribution in guise.” Mutual funds are only permitted to pay for distribution of their shares if...more
In This Issue:
- Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures
- Mutual Fund Boards and Oversight of Fair Valuation
- Mutual Funds and...more