SEC Asset Management Advisory Committee’s First Meeting Set for January 14
The Asset Management Advisory Committee will hold its inaugural meeting on Tuesday January 14 at 9:00 a.m.at SEC headquarters in Washington, DC.
January 03, 2020
Tags: AMAC
Transitioning to a Zero Commission World: Action Steps for Advisers
Bob Plaze, partner at IAA Associate Member Proskauer, suggests that advisers review their trading policies and procedures, fee structures, and disclosures.
January 01, 2020
Tags: Commissions, Trading, Zero Commissions
CFTC Proposes Rule to Prohibit Post-Trade Name Give-Up on Swap Execution Facilities
The CFTC has unanimously approved a proposal to prohibit “post-trade name give-up” practices for swaps that are anonymously executed on a Swap Execution Facility (SEF) and are intended to be cleared.
December 26, 2019
IM Division Director Blass Discusses Innovations and Areas of Future Focus
Dalia Blass, Director of the SEC’s Division of Investment Management, recently discussed innovations in the fund industry, modernization of regulations, and fund disclosure issues.
December 18, 2019
Tags: Bitcoin, Dalia Blass, Discosure, ETFs, SEC
SEC’s Division of Economic and Risk Analysis Introduces Quarterly Economic and Risk Outlook Report
The 25-page publication includes key highlights, a macro-financial overview, a discussion of market segments, and a research spotlight on collateralized loan obligations.
December 18, 2019
Tags: DERA
The adviser and its president, CEO, and majority owner settled SEC charges related to not following client instructions and of failing to adopt or implement compliance policies and procedures related to adhering to client objectives and restrictions.
December 18, 2019
Tags: SEC Enforcement
FinCEN Issues Financial Trend Analysis on Elder Financial Threats
A new analysis by the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) shows that family members and caregivers are most often responsible for financial exploitation of the elderly.
December 18, 2019
SEC Reproposes Rules for Use of Derivatives by RICs, Business Development Companies
On November 25, the SEC voted without an open meeting to propose a new rule governing the use of derivatives and other transactions in mutual funds.
December 01, 2019
Tags: Derivatives, Mutual Funds
Federal agencies recently released the Fall update to their regulatory agendas.
November 27, 2019
Tags: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas
This Risk Alert focuses on funds, but its themes echo those in previous Risk Alerts relating to investment advisers.
November 25, 2019
Tags: OCIE, Investment Company, Money Market Fund, Risk Alert, Target Date Fund