SEC Announces First Enforcement Action Under Fund Liquidity Rule
The SEC has charged a fund’s adviser and independent trustees in the first enforcement action under the fund liquidity rule.
May 16, 2023
SEC Announces First Enforcement Action Under Fund Liquidity Rule
The SEC has charged a fund’s adviser and independent trustees in the first enforcement action under the fund liquidity rule.
May 16, 2023
SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams
A new SEC Risk Alert reviews results of over 200 mutual funds and exchange-traded funds exams looking at impacts on retail investors.
November 12, 2021
SEC No-Action Letter Allows Funds to Custody Loan Interests
SEC No-Action Letter Allows Funds to Custody Loan Interests January 25, 2021 The SEC’s Division of Investment Management has issued a no-action letter that allows registered funds to self-custody...
January 25, 2021
SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA
SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA October 8, 2020 In a policy win for the IAA, the SEC has adopted a...
October 08, 2020
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