Tag: COVID-19
When It Comes to Reopening the Economy, HR is on the “Front Lines”
For months we have been celebrating the brave men and women on the "front lines" of this COVID-19 crisis. But as the nation now turns to the difficult task of re-opening the economy, HR professionals are now on the front lines.
August 06, 2020
Tags: Columns, Coronavirus, COVID-19, Guest Column, HR
Business Continuity Planning related to COVID-19 is now the top concern of investment management compliance professionals – edging out Cybersecurity, which had headed their rankings of hot topics for six consecutive years.
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
The SEC’s Divisions of Investment Management and Trading and Markets have issued a statement providing no-action relief from failure to deliver certain international adviser and fund communications.
June 25, 2020
Tags: Form ADV, Privacy, Coronavirus, COVID-19, Cybersecurity, Form CRS, Investment Company
The IAA’s second annual Trading and Best Execution Summit, cosponsored by Capital Markets Strategies, took place on June 18 in the midst of sweeping SEC initiatives designed to bring significant change to market structure and trading in the United States.
June 24, 2020
Tags: Best Execution, Brett Redfearn, Coronavirus, COVID-19, Hester Peirce, Jay Clayton, Trading
The IRS has published guidance regarding CARES Act provisions on Coronavirus-related distributions and loans from retirement plans.
June 22, 2020
Tags: CARES Act, Coronavirus, COVID-19, IRAs, IRS, Retirement Plans
SEC Extends Relief for In-Person Board Meetings
The SEC has issued an order that extends the time for relief from the in-person fund board meeting requirement until no earlier than December 31, 2020.
June 22, 2020
Tags: Coronavirus, COVID-19
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic
SEC Chairman Jay Clayton confirmed in a recent public statement that the June 30, 2020 compliance date for Form CRS and Regulation Best Interest (Reg BI) remains in effect.
June 18, 2020
Tags: CARES Act, Coronavirus, COVID-19, Form CRS, IRAs, Jay Clayton, Reg BI, Retirement Plans
Trump Signs Legislation to Relax PPP Restrictions After Congress Passes Measure Overwhelmingly
Several restrictions on companies that borrow money through the Paycheck Protection Program have been relaxed under legislation approved unanimously in a Senate voice vote and by a 417-1 vote in the House.
June 05, 2020
Tags: Congress, Coronavirus, COVID-19, Inside the Beltway, PPP
House Votes Nearly Unanimously to Relax PPP Restrictions
Several restrictions on companies that borrow money through the Paycheck Protection Program would be relaxed under a bill approved by the House on May 28 by a 417-1 vote.
May 29, 2020
Tags: Congress, Coronavirus, COVID-19, Inside the Beltway, PPP
SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams
The SEC’s Asset Management Advisory Committee (AMAC) met on May 27 to discuss the effects of COVID-19 on the asset management industry and to review the work streams of its ESG and Private Investment Subcommittees.
May 29, 2020
Tags: Money Market Funds, AMAC, Coronavirus, COVID-19, Dalia Blass, Electronic Delivery, ESG, ETFs, Jay Clayton, Private Funds, Private Offerings
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