News & Analysis as of September 21, 2024

Mutual Funds

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SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

Carlton Fields on 10/27/2016

The Securities and Exchange Committee (SEC) staff published Guidance Update 2016-04, concerning business continuity plans regarding companies within a “fund complex.” By “fund complex” the staff means an affiliated group of...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 11/2/2015

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

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Risk Mitigation › Securities and Exchange Commission (SEC) › Mutual Funds

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

A Compilation of Enforcement and Non-Enforcement Actions

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