Videocast: Asset management regulation in 2020 videocast series – Investment company developments
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SEC Charges Trust Company with Operating Unregistered Investment Companies and Failing to Register Securities Offerings. On September 30, the Securities and Exchange Commission (SEC) announced it had settled charges with...more
In the News. The Securities and Exchange Commission (SEC) proposed modifying the disclosure framework for mutual funds and exchange-traded funds (funds), which would create a new layered disclosure regime that attempts to...more
On June 19, 2020, the Securities and Exchange Commission (SEC) extended temporary exemptive relief from in-person voting requirements granted to registered management investment companies and business development companies...more
In recent weeks, financial industry regulators have released a number of guidance responding to the current COVID-19 outbreak. With respect to open-end registered investment management companies (“Registered Mutual Funds”),...more
In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed a new rule that would establish a revised framework for the fair value determination for purposes of the Investment Company Act of 1940 and have...more
The Securities and Exchange Commission (SEC) recently issued an order (Order) permitting registered open-end funds (other than money market funds) (Open-End Funds) and insurance company separate accounts registered as unit...more
As discussed in our previous alerts, over the past several weeks, the Securities and Exchange Commission (the SEC) and its staff (the Staff) have provided guidance and targeted, conditional, and temporary relief to investment...more
COVID-19 RELATED REGULATORY UPDATES - SEC Emphasizes the Importance of Delivering Timely and Material Information to Investment Company Investors...more
On March 23, 2020, in response to business disruptions caused by the spread of the coronavirus (“COVID-19”), the Securities and Exchange Commission (“SEC”) issued an exemptive order (the “Order”) under the Investment Company...more
In an Order dated March 25, 2020, the Securities and Exchange Commission extended the exemptions offered to investment companies, business development companies (BDCs) and investment advisers grappling with challenges to the...more
In This Issue. In response to the ongoing global outbreak of the coronavirus (COVID-19), federal financial regulators continue to take aggressive actions to promote stability to the financial markets. The Board of Governors...more
As the world responds to COVID-19, we have identified a number of compliance and legal considerations for asset managers. We summarize a select list of these in our note below....more
On March 13, 2020, the SEC issued an exemptive order under the Investment Company Act of 1940 (the “1940 Act” and the “1940 Act Order”) providing relief for registered management investment companies and business development...more
On March 13, 2020, the Securities and Exchange Commission (SEC) announced that the staff of the SEC’s Division of Corporation Finance and the Division of Investment Management (Staff) have published guidance to assist public...more
The staff of the Securities and Exchange Commission’s (SEC) Division of Investment Management has expanded relief for registered investment company boards from the in-person voting requirements of certain provisions of the...more