Tag: Coronavirus
New SEC, CFTC Staff Guidance on Coronavirus-Related Issues
As the coronavirus continues to cause unprecedented challenges, the IAA has aggregated several breaking regulatory updates to keep you informed. These updates detailed below cover the SEC (Form ADV, Custody,...
March 14, 2020
Tags: CFTC, Coronavirus, COVID-19, SEC
In response to the coronavirus, the SEC’s Division of Investment Management extended no-action relief that it provided in February 2019 from certain in-person voting requirements for fund directors. The February...
March 04, 2020
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