News & Analysis as of

Corporate Governance Securities and Exchange Commission (SEC) Fund Managers

Seward & Kissel LLP

SEC Drops Swing Pricing, Adopts Amendments to Form N-PORT and N-CEN and Issues Guidance on Open-End Fund Liquidity Risk Management...

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Boards of Directors; Investment Advisers; Compliance Officers; Fund Administrators- Quick Take: In its August 28, 2024, open meeting, the SEC amended fund reporting...more

Seward & Kissel LLP

SEC Wins First “Shadow Trading” Trial

Seward & Kissel LLP on

On April 5, 2024, after an eight-day trial, a jury in the U.S. District Court for the Northern District of California returned a verdict for the Securities and Exchange Commission in its first “shadow trading” case after...more

Proskauer Rose LLP

Taskforce on Nature-Related Financial Disclosures – New and Updated Nature Reporting Recommendations Published

Proskauer Rose LLP on

The NY Climate Week conference took place during the week of 18 September 2023, bringing together international leaders from business and governments. During the conference the Taskforce on Nature-related Financial...more

Hogan Lovells

Sustainability, disclosure – what Australian funds, sponsors and investors should know as consultation closes

Hogan Lovells on

Financial services regulators globally are identifying sustainability and Environmental, Social and Governance (ESG) issues as key areas of concern, with the aim of encouraging greater investment in longer term and...more

Proskauer - The Capital Commitment

ESG-Focused Fund Strategies Face SEC Scrutiny on Disclosures and Internal Procedures

As investors drive demand for investment products focused on environmental, social and governance (ESG) factors, fund managers have increasingly offered ESG-focused or “sustainable investing” funds. However, a recent speech...more

Latham & Watkins LLP

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

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Summary of private equity firms’ compliance obligations, discussion of notable developments in 2017, and outlook for 2018. US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more

Troutman Pepper

Lessons Learned From The Morgan Keegan Case, Part I – Valuation

Troutman Pepper on

The U.S. Securities and Exchange Commission (SEC)’s recent settlement in the latest chapter of the enforcement proceeding involving Morgan Keegan provides important guideposts on two of the hottest regulatory topics in the...more

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