Tag: Coronavirus
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic Also Confirms June 30 Reg BI, Form CRS Compliance Date June 18, 2020 Jay Clayton Saying the effects...
June 18, 2020
Tags: CARES Act, Coronavirus, COVID-19, Form CRS, IRAs, Jay Clayton, Reg BI, Retirement Plans
SEC Extends Relief for In-Person Board Meetings
SEC Extends Relief for In-Person Board Meetings Declines to Extend Form ADV and Other Filing, Delivery Requirements June 22, 2020 The SEC has issued an order that extends the time for relief...
June 22, 2020
Tags: Coronavirus, COVID-19
More Individuals Qualified for CARES Act Coronavirus-Related Retirement Plan Distributions, Loans Under New IRS Guidance Also Increases Loan Amounts, Includes Temporary Suspension of Repayments June 22, 2020 The IRS...
June 22, 2020
Tags: CARES Act, Coronavirus, COVID-19, IRAs, IRS, Retirement Plans
Highlights from the IAA/CMS Trading and Best Execution Summit: Market Structure Changes and IAs’ Trading, Best Ex Obligations June 24, 2020 The IAA’s second annual Trading and Best Execution...
June 24, 2020
Tags: Best Execution, Brett Redfearn, Coronavirus, COVID-19, Hester Peirce, Jay Clayton, Trading
2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Co July 17, 2020 Business Continuity Planning related to COVID-19 is now the top concern of...
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk August 12, 2020 The SEC examination staff has issued a Risk Alert highlighting select COVID-19 compliance risks and considerations for SEC-registered...
August 12, 2020
Tags: OCIE, Coronavirus, COVID-19, Risk Alert
IAA Joins Letter to Support CFTC’s Actions to Delay Implementation Dates for Initial Margin for Uncleared Swaps Due to Pandemic August 20, 2020 The IAA has joined other trade...
August 20, 2020
Tags: CFTC, Coronavirus, COVID-19
AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact
AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact September 24, 2020 The SEC’s Asset Management Advisory Committee (AMAC) held a meeting on September 16. In his opening...
September 24, 2020
Tags: AMAC, Coronavirus, COVID-19, Diversity & Inclusion, ESG, Private Funds
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go October 27, 2020 A new report by SEC staff seeks to identify the...
October 27, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, DERA, Jay Clayton
PPP Borrowers’ Names and Loan Amounts Must be Released, Says U.S. District Court
PPP Borrowers’ Names and Loan Amounts Must be Released, Says U.S. District Court November 6, 2020 In a lawsuit brought by news organizations and others, the U.S. District Court...
November 06, 2020
Tags: Coronavirus, COVID-19, PPP Loans
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