Cybersecurity in the investment management industry
The U.S. Securities and Exchange Commission (SEC) announced last week that it will now require electronic submissions via its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system for certain applications, namely...more
On June 3, 2022, the Securities and Exchange Commission (the “SEC”) announced its adoption of rule and form amendments expanding the requirement of electronic filing to include certain documents that are currently permitted...more
The amendments are designed to increase focus on material information while simplifying compliance efforts. The amendments eliminate the five-year selected financial data requirement, limit selected quarterly financial...more
On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more
The U.S. Securities and Exchange Commission (SEC or Commission) unanimously approved a proposal (Proposal) to modernize the reporting of information provided by registered investment companies (funds). Guided by the recent...more