SEC Compliance Outreach Program Scheduled for November 15
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September 22, 2022
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
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability April 9, 2021 The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year...
April 09, 2021
SEC Offers Guidance for Investing in ESG Funds
SEC Offers Guidance for Investing in ESG Funds March 1, 2021 In another sign of the SEC’s increased focus on sustainable investing, the agency’s Office of Investor Education and...
March 01, 2021
IAA Urges FTC to Withdraw Unworkable Aggregation Rule Proposal
IAA Urges FTC to Withdraw Unworkable Aggregation Rule Proposal February 5, 2021 The IAA has called on the Federal Trade Commission (FTC) to withdraw a proposal that would amend...
February 05, 2021
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
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