Videocast: Asset management regulation in 2020 videocast series – Investment company developments
Investment Management Roundtable Discussion – Data Privacy and Security
How This Investment Firm Hopes to Revolutionize Litigation in America
On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more
Covering legal developments and regulatory news for funds, their advisers, and industry participants through June 2021. ...more
ORGANIZING A REGISTERED FUND - Time and Responsibility Schedule - - Decide form and content early - Allow appropriate review time - Reviewers include: - Internal Personnel - Portfolio Managers - Legal/Compliance -...more
On November 25, 2019, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) re-proposed a new exemptive rule under the Investment Company Act of 1940, as amended (the “1940 Act”)—Rule 18f-4 (the...more
In the inaugural issue of Investment Management Update, we summarize regulatory, litigation and industry developments from February 2019 to May 2019 impacting the investment management sector....more
New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more