Tag: Names Rule
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
Considerations When Drafting an ESG 80% Policy
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
Tags: Columns, Compliance, Compliance Policies, Disclosure, ESG, Gary Gensler, Names Rule
SEC Requests Comment on Fund Names Rule
SEC Requests Comment on Fund Names Rule March 11, 2020 The SEC has published a request for comment, asking whether Rule 35d-1 under the Investment Company Act (the Names...
March 11, 2020
Tags: Mutual Funds, Names Rule
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