Category: Legal and Regulatory Updates
SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas
SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas July 14, 2020 Federal agencies recently released the spring 2020 update to their regulatory agendas. Each agency’s agenda is...
July 14, 2020
Tags: CFTC, DOL, FinCEN, Regulatory Agendas, SEC
SEC Charges U.S. Adviser, Canadian Affiliate in Connection with Fund Purchases of ETFs Exceeding Investment Company Act Limits July 10, 2020 The SEC has charged a U.S. investment adviser...
July 10, 2020
Tags: ETFs, SEC Enforcement
SEC’s Office of the Investor Advocate Announces its Priorities for 2021
SEC’s Office of the Investor Advocate Announces its Priorities for 2021 July 6, 2020 The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has set forth its policy...
July 06, 2020
Tags: SEC Investor Advocate
SEC Adopts Expedited Procedure for Exemptive Applications, Guidelines for Other Applications under the Investment Company Act July 10, 2020 The SEC has amended the procedures for reviewing exemptive applications...
July 10, 2020
New CFTC Strategic Plan Includes Harmonizing Regulations for Dually Registered CFTC and SEC Firms
New CFTC Strategic Plan Includes Harmonizing Regulations for Dually Registered CFTC and SEC Firms July 14, 2020 In its newly published 2020-2024 Strategic Plan, the CFTC identifies a new...
July 14, 2020
Tags: CFTC
Adviser Fined $200,000 in Connection with Purchases of Securities in Non-Public Rule 144A Offerings
Adviser Fined $200,000 in Connection with Purchases of Securities in Non-Public Rule 144A Offerings July 17, 2020 The SEC has fined a Colorado-based investment adviser in connection with purchases...
July 17, 2020
Tags: SEC Enforcement
IAA Comments Again on SEC’s Solicitation Proposal
IAA Comments Again on SEC’s Solicitation Proposal Repeats Opposition to Extending Solicitation Rule to Private Funds July 22, 2020 The IAA has submitted additional comments to the SEC in response...
July 22, 2020
Tags: Solicitation Rule
SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020 The SEC’s Asset Management Advisory Committee held a special...
July 23, 2020
Tags: FinTech, Privacy, AMAC, Dalia Blass, Diversity & Inclusion, Elad Roisman, Jay Clayton
IAA Comments on SEC’s Proposed Rule for Fair Value Determinations by Fund Boards
IAA Comments on SEC’s Proposed Rule for Fair Value Determinations by Fund Boards July 23, 2020 The IAA recently submitted a comment letter in response to the SEC’s proposed...
July 23, 2020
Tags: Subadviser , Fair Value
Co-Director of Enforcement Steven Peikin to Leave SEC
The SEC has announced that Steven Peikin is leaving the SEC on August 14, 2020. Peikin has served as Co-Director of the SEC’s Division of Enforcement with Stephanie Avakian for...
August 10, 2020
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