Table of Contents:
Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority.
Executive Summary -
This Outline highlights key U.S. Securities and Exchange...more
Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more
Claims for relief from CPO registration by qualifying family offices and fund of funds operators must be filed by December 31.
On November 29, the Commodity Futures Trading Commission's (CFTC's) Division of Swap Dealer...more
Division of Investment Management's guidance on securities lending by open-end and closed-end investment companies provides a reminder of legal obligations in lending programs.
CFTC issues no-action letter establishing uniform compliance dates and temporary relief for reporting of swap transaction data for swap dealers.
On November 19, the Commodity Futures Trading Commission's (CFTC's)...more