In October 2020, the U.S. Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 under section 18 of the Investment Company Act of 1940 (the “1940 Act”) to regulate the...
SEC Chair Addresses Systemic Risk Council on Money Market Funds, LIBOR; CFTC Receives Recommendation for Best Practice Benchmark to Replace LIBOR June 15, 2021 In his first remarks to...
SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021 The Chief Accountant of the SEC’s Division...
SEC Investment Management Withdraws, Modifies Staff Letters to Implement New Derivatives Rule April 13, 2021 The SEC Division of Investment Management has announced in an Information Update that it...
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
FSOC Expresses Concerns with Fund Leverage and Redemptions Calls on SEC to Study Potential Emerging Risks from Investment Funds December 9, 2020 Not surprisingly, the 2020 annual report of...
In a Win for the IAA, SEC Declines to Adopt Sales Practice Rule for Advisers, Adopts New Approach to Derivatives Use by Registered Funds Updated November 18, 2020 After...
IAA Supports SEC’s Reproposal of Fund Derivatives Rule, Strongly Opposes Related Sales Practice Rule as “Troubling” May 6, 2020 While generally supporting the SEC’s comprehensive approach to modernizing regulation around...
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