On March 13, 2020, the Securities and Exchange Commission (SEC), indicating that it is closely monitoring the impact of coronavirus on investors, funds and advisers, announced regulatory relief for funds and investment...more
3/16/2020
/ Annual Meeting ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Filing Deadlines ,
Filing Requirements ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Funds ,
Registered Investment Companies (RICs) ,
Relief Measures ,
Securities and Exchange Commission (SEC) ,
Virtual Meetings
On November 7, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert highlighting the most often cited deficiencies and weaknesses observed in recent examinations of registered...more
11/13/2019
/ Corporate Governance ,
Disclosure Requirements ,
Ethics ,
Independent Director ,
Investment Company Act of 1940 ,
Investment Funds ,
Investors ,
Money Market Funds ,
OCIE ,
Policies and Procedures ,
Registration Statement ,
Retail Investors ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Target Date Funds