Tag: Coronavirus
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
Tags: Coronavirus, COVID-19, Division of Investment Management, Money Market Fund, Mutual Funds
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability
The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year – and of the new Administration – focused on hedge funds, mutual funds, and climate change. Following a discussion...
April 09, 2021
Tags: Climate, Coronavirus, COVID-19, ESG, Financial Stability, FSOC, Hedge Funds, Mutual Funds, Systemic Risk
SEC Requests Comment on Money Market Fund Report
The SEC is requesting public comment on potential reforms for money market funds that were discussed in a report by the President’s Working Group on Financial Markets (PWG). As previously...
February 10, 2021
Tags: Coronavirus, COVID-19, Dalia Blass, Money Market Fund, SEC Investment Management
SEC Requests Feedback on Money Market Fund Report
The SEC’s Division of Investment Management is seeking feedback on a report by the President’s Working Group on Financial Markets (PWG) on the effects of the March 2020 market volatility...
December 28, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, Industry Trends, Money Market Fund, SEC Investment Management
SEC’s Investor Advisory Committee Adds New Members
The SEC’s Investor Advisory Committee (IAC) recently met to discuss corporate disclosure during COVID-19 and the implications of the pandemic for the upcoming proxy season. The IAC also announced the...
December 21, 2020
Tags: Coronavirus, COVID-19, IAC, Proxy Voting
FSOC Expresses Concerns with Fund Leverage and Redemptions
Not surprisingly, the 2020 annual report of the Financial Stability Oversight Council (FSOC) looks at the risk to the U.S. financial system through the lens of the unprecedented economic turmoil...
December 09, 2020
Tags: Coronavirus, COVID-19, Derivatives, ETFs, FSOC, Hedge Funds, Mutual Funds
SEC Amends Rules to Facilitate Electronic Submission of Filings
In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the widespread use of electronic signatures (e-signatures) and related technological developments, as well as...
November 18, 2020
Tags: Coronavirus, COVID-19, E-Signature
SEC IM Director Dalia Blass Reflects on Division’s Work
In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s hard work and accomplishments throughout the year. She praised her staff’s hard work...
November 17, 2020
Tags: Coronavirus, COVID-19, Custody, Dalia Blass, Proxy Voting, Registered Funds, SEC Investment Management
The SEC’s Asset Management Advisory Committee (AMAC) has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization. The AMAC was formed to provide...
November 10, 2020
Tags: AMAC, Compliance, Coronavirus, COVID-19, E-Delivery, Electronic Delivery
PPP Borrowers’ Names and Loan Amounts Must be Released, Says U.S. District Court
In a lawsuit brought by news organizations and others, the U.S. District Court for the District of Columbia has ordered the Small Business Administration (SBA) to publicly release the names,...
November 06, 2020
Tags: Coronavirus, COVID-19, PPP Loans
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