BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval June 15, 2021 The SEC has settled charges against a California-based investment adviser and its co-principal...
SEC Investment Management Seeks Input on Cross Trading Rule Amendments Updated March 24, 2021 The SEC’s Division of Investment Management staff is considering amending Investment Company Act Cross Trading...
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...
SEC to Provide Exemption for Approval of Sub-Advisory Agreements from In-Person Board Meeting Requirements Under the Investment Company Act February 7, 2020 The SEC plans to issue an order...
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