SEC Proposes Updates to Fund Disclosure Framework
As part of its investor experience initiative, the SEC has proposed an updated disclosure framework for mutual funds and ETFs.
August 11, 2020
Tags: Disclosure, ETFs, Mutual Funds
The SEC has charged two affiliated investment advisers in connection with material misrepresentations to boards of their mutual fund and ETF clients.
August 10, 2020
Tags: Disclosure, ETFs, Mutual Funds, SEC Enforcement, Trading
The SEC has charged a U.S. investment adviser and an affiliated adviser based in Canada in connection with their purchases of shares of ETFs on behalf of fund clients in excess of limits under the Investment Company Act.
July 10, 2020
Tags: ETFs, SEC Enforcement
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
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