On January 30, 2020, the Federal Reserve Board, FDIC, OCC, SEC and CFTC proposed amendments to certain Volcker Rule restrictions relating to banking entity activities with hedge funds or private equity funds (covered funds)....more
2/27/2020
/ Banking Sector ,
CFTC ,
Comment Period ,
Covered Funds ,
FDIC ,
Federal Reserve ,
Financial Regulatory Agencies ,
Foreign Investment Fund ,
Hedge Funds ,
OCC ,
Private Equity Funds ,
Proposed Amendments ,
SBIC ,
Securities and Exchange Commission (SEC) ,
Volcker Rule
New Rules, Proposed Rules, Guidance and Alerts -
PROPOSED RULES -
SEC Proposes Amendments to Auditor Independence Rules -
On December 30, 2019, the SEC proposed amendments to Rule 2-01 of Regulation S-X, which sets...more
2/4/2020
/ Auditor Independence ,
Auditors ,
Derivatives ,
OCIE ,
Private Funds ,
Proposed Amendments ,
Retirement Plan ,
Risk Alert ,
SEC Examination Priorities ,
SECURE Act ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swaps
On December 30, 2019, the SEC proposed amendments to Rule 2-01 of Regulation S-X, which sets forth the qualifications and independence standards for public company auditors, in order to carve out certain fact patterns...more
On November 5, 2019, the SEC issued a release proposing amendments to Rule 14a-8 under the Securities Exchange Act of 1934, which is the rule that governs the process through which shareholders may submit proposals to be...more
12/10/2019
/ Corporate Governance ,
Proposed Amendments ,
Proposed Rules ,
Proxy Statements ,
Proxy Voting Guidelines ,
Public Comment ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholder Meetings ,
Shareholder Proposals
On October 18, 2019, the SEC issued a release proposing amendments to Rule 0 5 under the Investment Company Act of 1940 that would expedite the review process for certain applications for exemptive relief under the 1940 Act....more
On May 3, 2019, the SEC issued a proposal to amend certain rules and forms relating to required financial disclosures in business combination transactions involving investment companies.
First, the proposal would...more
7/5/2019
/ Acquisitions ,
Comment Period ,
Disclosure Requirements ,
Financial Reporting ,
Financial Statements ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Funds ,
Proposed Amendments ,
Public Comment ,
Regulation S-X ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Subsidiaries
SEC Proposes Amendments to Auditor Independence Rules to Address Certain Lending Relationships -
Summary -
On May 2, 2018, the SEC issued proposed amendments to its auditor independence rules concerning the...more
5/23/2018
/ Auditor Independence ,
Auditors ,
Investment Management ,
Loan Agreements ,
Loans ,
New Rules ,
No-Action Relief ,
Open-Ended Fund Companies (OFCs) ,
Proposed Amendments ,
Proposed Rules ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Voting Securities
New Rules, Proposed Rules, Guidance and Alerts -
PROPOSED RULES -
SEC Proposes Changes to Fund Liquidity Disclosure Requirements -
On March 14, 2018, the SEC issued proposed amendments to the disclosure requirements...more
3/21/2018
/ 12b-1 plan ,
Disclosure Requirements ,
Form N-PORT ,
Investment Company Act of 1940 ,
Liquidity Risk Management Rule ,
Proposed Amendments ,
Proposed Rules ,
Reporting Requirements ,
Rule 22e-4 ,
Section 36(b) ,
Securities and Exchange Commission (SEC)
On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more
8/29/2017
/ Amended Regulation ,
Annuities ,
Appeals ,
Auditors ,
Broker-Dealer ,
Compliance ,
Cybersecurity ,
Dismissals ,
Enforcement Actions ,
ETFs ,
Excessive Fees ,
Failure To Disclose ,
Federal Employees ,
Filing Deadlines ,
Financial Reporting ,
Form N-CEN ,
Form N-PORT ,
Fraud ,
Investment Companies ,
Investment Funds ,
Investment Management ,
Liquidity ,
Loans ,
OCIE ,
Proposed Amendments ,
Regulation S-X ,
Reporting Modernization Rules ,
Revenue Sharing ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Standing ,
Third-Party