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Out With the Old, in With the New – SEC Scraps Swing Pricing Proposal, Removes Redemption Gates, and Mandates Liquidity Fees for...

In a surprising change, the SEC heeded the cacophony of opposition to swing pricing, but instead threw the industry a curveball by requiring mandatory liquidity fees for institutional prime and institutional tax-exempt money...more

ESG and the Sustainable Economy Handbook - Overview

Environmental, social, and governance (ESG) and the sustainable economy are concepts that often overlap and frequently intertwine. Whether viewed separately or together, they have significantly changed global investing and...more

ESG and the Sustainable Economy Handbook - Perspectives in ESG and Sustainable Investment

Environmental, social, and governance (ESG) and the sustainable economy are concepts that often overlap and frequently intertwine. Whether viewed separately or together, they have significantly changed global investing and...more

Session III - Closed-End and Alternative Strategy Funds and BDCs: 2019 Boston Investment Management Conference

WHY CLOSED-END FUNDS, ALTERNATIVE STRATEGY FUNDS, AND BDCS? - Many advisers recommend alternative assets or alternative strategies and structures as part of an investor’s diversified investment portfolio - For...more

Saving Trees: SEC Allows Notice & Access Delivery of Shareholder Reports

On June 4, 2018, the Securities and Exchange Commission (the “SEC”) voted to adopt new Rule 30e-3 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”)....more

Click-Here for Your Fund Report: SEC Endorses Web-Delivery and Asks for Comments

A. Key Takeaways - On June 4, 2018, the Securities and Exchange Commission (“SEC”) adopted Rule 30e-3 (the “Rule”) to provide mutual funds, exchange-traded funds, closed-end funds and certain registered unit investment trusts...more

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