Tag: Mutual Funds
Webinar Recap: Access to Private Markets for Retail Investors
Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.
June 09, 2025
Tags: Compliance, Mutual Funds, Private Funds
SEC Extends Compliance Date for Fund Names Rule
The SEC announced a six-month extension of the compliance dates for the Investment Company Act amended “Names Rule” which addresses fund names that may mislead investors.
March 17, 2025
Tags: Mutual Funds, Names Rule
SEC staff issues Fund Names Rule FAQs covering new 2023 rule amendments.
January 14, 2025
Tags: Mutual Funds, Names Rule
IAA’s Barr Supports Adequate SEC Funding, Opposes SRO
Karen Barr, President & CEO of the IAA, supports adequate SEC funding and opposes SRO for advisers at the SEC’s Investor Advisory Committee meeting.
March 09, 2023
Tags: IAC, Mutual Funds, Private Funds, SEC Investor Advocate
SEC Compliance Outreach Program Scheduled for November 15
The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.
September 22, 2022
Tags: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations
Advisers Charged with Valuation, Compliance, Oversight Failures
SEC fines fund adviser and sub-adviser in connection with overvaluation of fund assets, oversight, compliance failures.
June 27, 2022
Tags: Mutual Funds, SEC Enforcement, Valuation
FSOC Continues to Target Money-Market, Hedge, Open-End Funds
The FSOC will continue to focus on potential systemic risks posed by hedge funds, open-end funds, and money-market funds through 2022.
February 16, 2022
Tags: FSOC, Hedge Funds, Money Market Fund, Mutual Funds, Systemic Risk
IAA Files Comment Letter on Proposal to Report Say-on-Pay Proxy Votes
The IAA has commented on the SEC’s re-proposal of a rule and form amendments to facilitate the disclosure of say-on-pay (executive compensation) proxy votes by institutional investment managers that are subject to Section 13(f) of the Exchange Act.
December 21, 2021
SEC Proposes Money Market Funds Reforms – Again
In a 3-2 vote, the SEC has proposed significant amendments to the rules governing money market funds, seeking to improve funds' resiliency after a redemption rush at the beginning of the COVID-19 pandemic that stressed short-term funding markets.
December 21, 2021
Tags: Money Market Funds, COVID-19, Mutual Funds
Adviser, Principal Fined for Fund Management, Proxy, Valuation Issues
The SEC has fined a New Jersey-based registered investment adviser and its principal in connection with the adviser’s management of a mutual fund.
December 10, 2021
Tags: Compliance, Mutual Funds, SEC Enforcement, Valuation
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