The Securities and Exchange Commission recently adopted significant changes to Rule 35d-1 under the Investment Company Act of 1940 (Names Rule), as well as certain forms and disclosure requirements on September 20, 2023...more
12/6/2023
/ Derivatives ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Form N-PORT ,
Investment ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Portfolios ,
Notice Requirements ,
NSMIA ,
Proposed Amendments ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
On September 20, 2023, the U.S. Securities and Exchange Commission, by a vote of four to one, adopted amendments to the current rule regarding registered fund names, as well as certain forms and disclosure requirements. The...more
9/22/2023
/ Deceptive Intent ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Investment Company Act of 1940 ,
Investor Protection ,
Misleading Statements ,
New Amendments ,
Notice Requirements ,
Recordkeeping Requirements ,
Registered Funds ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission on October 28, 2020 approved by a 3-2 vote a new rule and rule and form amendments related to the use of derivatives and certain other transactions by registered investment...more
The U.S. Securities and Exchange Commission on November 25, 2019 unanimously approved for publication a three-part rule proposal related to the use of derivatives and certain other transactions by registered investment...more
12/17/2019
/ BDC ,
Board of Directors ,
Comment Period ,
Compliance ,
Derivatives ,
Due Diligence ,
Form N-CEN ,
Form N-LIQUID ,
Form N-PORT ,
Investment Funds ,
Oversight Duties ,
Proposed Amendments ,
Recordkeeping Requirements ,
Reporting Requirements ,
Repurchase Agreements ,
Risk Management ,
Securities and Exchange Commission (SEC)