SEC Announces First Enforcement Action Under Fund Liquidity Rule
The SEC has charged a fund’s adviser and independent trustees in the first enforcement action under the fund liquidity rule.
May 16, 2023
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IAA Files Comment Letter on Proposal to Report Say-on-Pay Proxy Votes
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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
SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021 The Chief Accountant of the SEC’s Division...
May 04, 2021
SEC Requests Comment on Money Market Fund Report
SEC Requests Comment on Money Market Fund Report February 10, 2021 The SEC is requesting public comment on potential reforms for money market funds that were discussed in a...
February 10, 2021
SEC No-Action Letter Allows Funds to Custody Loan Interests
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...
January 25, 2021
President Trump Signs Holding Foreign Companies Accountable Act; SEC Issues Findings on Emerging Markets Fund Disclosures December 21, 2020 President Trump has signed into law the Holding Foreign Companies...
December 21, 2020
SEC IM Director Dalia Blass Reflects on Division’s Work
SEC IM Director Dalia Blass Reflects on Division’s Work November 17, 2020 In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s...
November 17, 2020