Tag: COVID-19
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
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go
A new report by SEC staff seeks to identify the extent to which interconnectedness and related interdependencies in the U.S. credit markets contributed to or mitigated risk – including systemic...
October 27, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, DERA, Jay Clayton
SEC’s FIMSAC Considers Impacts of COVID-19 on Fixed Income Markets
The SEC’s Fixed Income Market Structure Advisory Committee (FIMSAC) met on October 5 to discuss the impacts of the COVID-19 pandemic and other developments on the fixed income markets. The...
October 15, 2020
Tags: Coronavirus, COVID-19, FIMSAC, Trading
SEC Investment Management Director Blass Discusses Regulating for the Future
Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking...
October 05, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation
AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact
The SEC’s Asset Management Advisory Committee (AMAC) held a meeting on September 16. In his opening remarks, SEC Chairman Jay Clayton discussed his interest in promoting access and choice for Main...
September 24, 2020
Tags: AMAC, Coronavirus, COVID-19, Diversity & Inclusion, ESG, Private Funds
The IAA has joined other trade associations in an August 5 letter to the CFTC supporting its May 28 adoption of an interim final rule and issuance of a proposed...
August 20, 2020
Tags: CFTC, Coronavirus, COVID-19
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk
The SEC examination staff has issued a Risk Alert highlighting select COVID-19 compliance risks and considerations for SEC-registered investment advisers and broker-dealers identified through industry outreach efforts and consultation with...
August 12, 2020
Tags: OCIE, Coronavirus, COVID-19, Risk Alert
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division. She...
August 11, 2020
Tags: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management
The Treasury Department’s Financial Crimes Enforcement Network (FinCEN) released additional frequently asked questions (FAQs) about customer due diligence (CDD) requirements for covered “financial institutions” under the Bank Secrecy Act. The...
August 10, 2020
Tags: AML, Coronavirus, COVID-19, FinCEN
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