On March 6, 2024, the U.S. Securities and Exchange Commission (the “SEC”) adopted on a 3-2 vote its long-awaited, comprehensive rules for enhancing and standardizing climate-related disclosures by public companies in periodic...more
3/8/2024
/ Climate Change ,
Compliance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Final Rules ,
Greenhouse Gas Emissions ,
Proposed Rules ,
Regulation S-K ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Severe Weather
Today, the Securities and Exchange Commission, by a vote of 3 to 2, approved amendments to Rule 2a-7 and other rules that govern money market funds under the Investment Company Act of 1940 (Amendments). Among other things,...more
7/13/2023
/ Compliance ,
De Minimis Claims ,
Fees ,
Illiquid Assets ,
Interest Rates ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Liquidity ,
Money Market Funds ,
NAV ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Threshold Requirements
Adopted by the U.S. Securities and Exchange Commission (SEC) in 2016, Rule 22e-4 under the Investment Company Act of 1940 (Liquidity Rule) has presented the fund industry with thorny interpretive questions and compliance...more
4/9/2018
/ Compliance ,
Disclosure Requirements ,
Division of Investment Management ,
ETFs ,
Form N-PORT ,
Investment Company Act of 1940 ,
Liquidity ,
Liquidity Risk Management Rule ,
Proposed Rules ,
Securities and Exchange Commission (SEC) ,
Time Extensions
The July 14, 2015 compliance date for certain new money market fund reporting and disclosure requirements adopted by the U.S. Securities and Exchange Commission (SEC) is quickly approaching. In particular, money market funds...more
U.S. SEC’s Office of Compliance Inspections and Examinations Issues Risk Alert on Alternative Investment Due Diligence Practices -
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and...more