Mutual funds and other registered investment companies have long had an obligation to file Form N-PX, giving the SEC and the public access to how a fund voted proxies on an annual basis. New Rule 14Ad-1 under the Securities...more
8/23/2024
/ Filing Deadlines ,
Filing Requirements ,
Form 13F ,
Investment Funds ,
Mutual Funds ,
New Rules ,
Proxy Voting ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholder Meetings
On January 26, 2022, the Securities and Exchange Commission (SEC) proposed amendments to private fund reporting rules that would increase the information required to be reported to the SEC on Form PF and the frequency of...more
2/4/2022
/ Comment Period ,
Disclosure Requirements ,
Form PF ,
FSOC ,
Hedge Funds ,
Investment Adviser ,
Investment Funds ,
Money Market Funds ,
Private Equity Funds ,
Proposed Rules ,
Securities and Exchange Commission (SEC)
On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk Alert) describing common deficiencies and compliance issues for...more
The Financial Crimes Enforcement Network (FinCEN) has proposed long-expected regulations that would extend anti-money laundering (AML) requirements to federally registered investment advisers (RIA). The August 25, 2015...more
9/4/2015
/ Banking Examinations ,
Banks ,
Broker-Dealer ,
BSA/AML ,
Dodd-Frank ,
Due Diligence ,
Enforcement ,
Financial Institutions ,
FinCEN ,
Industry Examinations ,
Investment Adviser ,
Investment Funds ,
Private Investment Funds ,
Proposed Regulation ,
Public Comment ,
SAR