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
The Division of Investment Management (“Division”) of the U.S. Securities and Exchange Commission (“SEC”) recently published guidance (“Guidance”) addressing steps that funds and fund advisers should consider in light of...more
2/14/2014
/ Banking Sector ,
Broker-Dealer ,
Federal Reserve ,
Fixed Income Investments ,
Internal Revenue Code (IRC) ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Market Making ,
Market Risk Capital Rule ,
Securities and Exchange Commission (SEC) ,
Volcker Rule