Tag: Mutual Funds
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
SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams
A new SEC Risk Alert reviews results of over 200 mutual funds and exchange-traded funds exams looking at impacts on retail investors.
November 12, 2021
Tags: Investment Company Act, Mutual Funds, Risk Alert, SEC Examinations
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
Tags: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management
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