SEC Requests Feedback on Money Market Fund Report
SEC Requests Feedback on Money Market Fund Report December 28, 2020 The SEC’s Division of Investment Management is seeking feedback on a report by the President’s Working Group on...
December 28, 2020
FSOC Expresses Concerns with Fund Leverage and Redemptions
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...
December 09, 2020
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
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
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
Trump Signs Legislation to Relax PPP Restrictions After Congress Passes Measure Overwhelmingly
Trump Signs Legislation to Relax PPP Restrictions After Congress Passes Measure Overwhelmingly Updated June 5, 2020 Several restrictions on companies that borrow money through the Paycheck Protection Program have...
June 05, 2020
House Votes Nearly Unanimously to Relax PPP Restrictions
House Votes Nearly Unanimously to Relax PPP Restrictions May 29, 2020 Several restrictions on companies that borrow money through the Paycheck Protection Program would be relaxed under a bill...
May 29, 2020
SEC COVID-19 Market Monitoring Group Update
SEC COVID-19 Market Monitoring Group Update May 19, 2020 Following inquiries about its work, SEC Chairman Jay Clayton and Chief Economist S.P. Kothari issued an update on the efforts...
May 19, 2020
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