Why It Matters -
Broker-dealers and investment advisers should take heed of OCIE’s guidance and assess their compliance policies and procedures accordingly. Compliance should consider, in consultation with their counsel,...more
8/19/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Compliance ,
Coronavirus/COVID-19 ,
Fee Disclosure ,
Fiduciary Duty ,
Information Governance ,
Investment Adviser ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Regulation Best Interest ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Standard of Care
SEC Grants Additional COVID-19 Relief to Business Development Companies -
On April 8, the SEC issued an order granting relief to business development companies (BDCs) by permitting BDCs to issue and sell senior securities...more
6/17/2020
/ Business Development Companies ,
Closed-End Funds ,
Co-Investment Rights ,
Coronavirus/COVID-19 ,
Form ADV ,
Form CRS ,
Investment Company Act of 1940 ,
Investment Management ,
OCIE ,
Offerings ,
Regulation Best Interest ,
Relief Measures ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
WKSIs
Covering legal developments and regulatory news for registered funds, their advisers and industry participants through June 30, 2019.
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships -
On...more
7/19/2019
/ Broker-Dealer ,
Capital Formation ,
Common Reporting Standard (CRS) ,
Conflicts of Interest ,
Duty of Care ,
Duty of Loyalty ,
ETFs ,
Fiduciary Duty ,
Financial Markets ,
Financial Services Industry ,
Form CRS ,
Investment Management ,
Investor Protection ,
Public Comment ,
Regulation Best Interest ,
Regulation S-X ,
Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation