Tag: Investment Company
The SEC has reopened the comment period for a proposal to require universal proxy cards in connection with certain contested director elections. A universal proxy card includes the names of...
April 27, 2021
Tags: Allison Herren Lee, Investment Company, Proxy, Shareholder Proposals
SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA
In a policy win for the IAA, the SEC has adopted a new “fund of funds” rule that does not include a proposed redemption limitation on a fund that acquires...
October 08, 2020
Tags: Fund of Funds, Gail Bernstein, Investment Company, Investment Company Act
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. The relief applies...
June 25, 2020
Tags: Form ADV, Privacy, Coronavirus, COVID-19, Cybersecurity, Form CRS, Investment Company
SEC Adopts Amendments to Financial Disclosure Rules Related to Acquisitions and Dispositions
The SEC has adopted amendments to Regulation S-X and other regulations in order to “improve for investors the financial information about acquired or disposed businesses, facilitate more timely access to...
June 03, 2020
Tags: Investment Company, Mergers & Acquisitions, Private Funds
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
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published a Risk Alert that provides examples of the most common deficiencies cited in examinations of registered investment companies, money...
November 25, 2019
Tags: OCIE, Investment Company, Money Market Fund, Risk Alert, Target Date Fund
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