SEC Compliance Outreach Program Scheduled for November 15
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September 22, 2022
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FSOC Continues to Target Money-Market, Hedge, Open-End Funds
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February 16, 2022
SEC Proposes Money Market Funds Reforms – Again
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December 21, 2021
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability
The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year – and of the new Administration – focused on hedge funds, mutual funds, and climate change. Following a discussion...
April 09, 2021
SEC Offers Guidance for Investing in ESG Funds
In another sign of the SEC’s increased focus on sustainable investing, the agency’s Office of Investor Education and Advocacy has released an Investor Bulletin that focuses on environmental, social, and...
March 01, 2021
IAA Urges FTC to Withdraw Unworkable Aggregation Rule Proposal
The IAA has called on the Federal Trade Commission (FTC) to withdraw a proposal that would amend the definition of “person” in the premerger notification rules under the Hart-Scott-Rodino Act...
February 05, 2021
FSOC Expresses Concerns with Fund Leverage and Redemptions
Not surprisingly, the 2020 annual report of the Financial Stability Oversight Council (FSOC) looks at the risk to the U.S. financial system through the lens of the unprecedented economic turmoil...
December 09, 2020