Advisers Charged with Valuation, Compliance, Oversight Failures
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June 27, 2022
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SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams
A new SEC Risk Alert reviews results of over 200 mutual funds and exchange-traded funds exams looking at impacts on retail investors.
November 12, 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
The Chief Accountant of the SEC’s Division of Investment Management has issued a “Dear CFO Letter” to assist funds, advisers, and their independent public accountants “in addressing certain accounting, auditing,...
May 04, 2021
The SEC’s Division of Investment Management is terminating an exemptive order and withdrawing two no-action letters that were issued in March 2020 as part of the SEC’s response to the...
April 27, 2021
SEC Staff Issues FAQ on Mutual Fund Calculation Methodologies for Securities Lending Reporting
The staff of the SEC’s Division of Investment Management recently updated its FAQs on Form N-CEN. New FAQ 7 identifies examples of methodologies a fund could use to calculate the...
April 27, 2021
IAA Responds to SEC Staff Request for Comment on Investment Company Cross Trading Rule 17a-7
IAA members today engage in cross trading between client accounts (i.e., selling a security from one client account while purchasing that same security for another) as a cost-effective way to...
April 13, 2021
SEC Investment Management Withdraws, Modifies Staff Letters to Implement New Derivatives Rule
The SEC Division of Investment Management has announced in an Information Update that it is withdrawing or modifying over 30 SEC staff letters or statements relating to Sections 12(a) and...
April 13, 2021