...SEC Adopts Amendments to Fund Names Rule -
On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more
11/16/2023
/ Anti-Money Laundering ,
Beneficial Owner ,
Broker-Dealer ,
Business Development ,
Compliance ,
Conflicts of Interest ,
Cryptoassets ,
Cybersecurity ,
Deadlines ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Form N-PORT ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Misrepresentation ,
Mobile Devices ,
Mutual Funds ,
New Amendments ,
Policies and Procedures ,
Popular ,
Private Funds ,
Proposed Rules ,
Recordkeeping Requirements ,
Reporting Requirements ,
Risk Alert ,
Schedule 13D ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Violations ,
Transfer Agents ,
Wall Street
Closed-End Fund Activism Update -
Activist investors continue to take large positions in closed-end funds and engage in disruptive activity that may be harmful to long-term shareholders of retail closed-end funds. This...more
8/8/2023
/ Board of Directors ,
Broker-Dealer ,
Closed-End Funds ,
Compliance ,
Corporate Governance ,
Cryptoassets ,
Disclosure Requirements ,
Enforcement Actions ,
Investment Adviser ,
Libor ,
Liquidity Risk Management Rule ,
Marketing ,
Regulation Best Interest ,
Regulatory Agenda ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Shareholder Activism
In this issue, we cover regulatory developments impacting the investment management sector, including the Securities and Exchange Commission’s (SEC’s) focus on the annual 15(c) advisory contract approval process for fund...more
In the inaugural issue of Investment Management Update, we summarize regulatory, litigation and industry developments from February 2019 to May 2019 impacting the investment management sector....more
6/18/2019
/ Amended Rules ,
Bitcoin ,
BlackRock ,
Broker-Dealer ,
Business Development Companies ,
Closed-End Funds ,
Compliance ,
Corporate Issuers ,
Custody Rule ,
Digital Assets ,
Disclosure Requirements ,
Economic Growth Regulatory Relief and Consumer Protection Act ,
Emerging Growth Companies ,
ETFs ,
Excessive Fees ,
Exemptive Relief ,
Exhibit Issues ,
Filing Requirements ,
Financial Statements ,
Fixing America’s Surface Transportation Act (FAST Act) ,
Form N-PORT ,
Fund of Funds ,
Hyperlink ,
Incorporation by Reference ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Management ,
Modification ,
Mutual Funds ,
No-Action Letters ,
Personally Identifiable Information ,
Popular ,
Proposed Rules ,
Redaction ,
Regulation S-K ,
Regulation S-P ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Tokens ,
Securities Violations ,
Testing-the-Waters Communications ,
Voting Requirements ,
XBRL Filing Requirements
On May 20, 2015, the Securities and Exchange Commission (the “SEC”) approved new proposed rules, forms and amendments that would expand the information that registered investment companies1 are required to report. The SEC’s...more
7/31/2015
/ Compliance ,
Derivatives ,
Financial Statements ,
Form N-CEN ,
Form N-PORT ,
Form N-SAR ,
Investment Companies ,
Investment Funds ,
Investment Portfolios ,
Regulation S-X ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholder Distributions ,
Shareholders