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Investment Funds › Exemptive Relief

Alston & Bird

SEC Proposes New Exemptive Relief for Finders

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Our Financial Services & Products Group examines a new proposal from the Securities and Exchange Commission that could provide some long-overdue clarity to funds and other businesses that seek wider access to capital through...more

Vedder Price

SEC Issues New Exemptive Order in Response to COVID-19

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On March 13, 2020, the staff of the Securities and Exchange Commission (“SEC”) issued an exemptive order providing relief from certain provisions of the Investment Company Act of 1940, as amended (the “1940 Act”), to...more

Vedder Price

SEC Issues Notice of Intention to Grant Exemption from Board’s In-Person Meeting Requirement to Approve Sub-Advisory Agreements

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On January 21, 2020, the SEC issued a notice of its intention to grant exemptive relief to a registered fund and its investment adviser that would permit the fund’s board to approve new sub-advisory agreements and material...more

Dechert LLP

SEC IM Staff Issues Guidance Update on Mixed and Shared Funding

Dechert LLP on

The staff of the U.S. Securities and Exchange Commission Division of Investment Management (Staff) has issued an IM Guidance Update regarding mixed and shared funding (Guidance Update). In the Guidance Update, the Staff...more

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