SEC Proposes Money Market Funds Reforms – Again
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December 21, 2021
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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 Requests Feedback on Money Market Fund Report
The SEC’s Division of Investment Management is seeking feedback on a report by the President’s Working Group on Financial Markets (PWG) on the effects of the March 2020 market volatility...
December 28, 2020
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
AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact
The SEC’s Asset Management Advisory Committee (AMAC) held a meeting on September 16. In his opening remarks, SEC Chairman Jay Clayton discussed his interest in promoting access and choice for Main...
September 24, 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