Marguerite Laurent

K&L Gates LLP

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SEC Finalizes Major Changes to Shareholder Report Disclosure Scheme and Investment Company Advertisement Rules

On 26 October 2022, the Securities and Exchange Commission (SEC) adopted final rule and form amendments (the Final Rules) representing major reforms to: 1) shareholder reports for open-end mutual funds and exchange-traded...more

10/28/2022 / Asset Management , Corporate Governance , Disclosure , ETFs , Investment Companies , Securities and Exchange Commission (SEC) , Shareholders

COVID-19: Evaluating the Need for In-Person Fund Board Meetings and Other Considerations for U.S. Asset Managers

The pandemic coronavirus (COVID-19) has significantly disrupted certain industries and markets, and captured the attention of market participants. This client alert reviews the March 4, 2020 SEC guidance issued in response to...more

3/9/2020 / Asset Management , Board of Directors , Coronavirus/COVID-19 , Health and Safety , Infectious Diseases , Securities and Exchange Commission (SEC)

Tech Innovation in Asset Management: Artificial Intelligence and Blockchain: 2019 Washington D.C. Investment Management Conference

PRESENTATION OUTLINE - - Introduction - Artificial Intelligence (AI): - What is AI really?? - Subcategories of AI - Use cases in the asset management industry - Legal implications to consider ...more

1/29/2020 / Artificial Intelligence , Asset Management , Blockchain , Investment Management

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