Tag: SEC Investment Management
Federal Agencies Issue Fall 2020 Regulatory Agendas; Custody Moves to Long-Term Agenda
An update on the SEC’s, FinCEN’s, DOL’s, and CFTC’s regulatory agendas as they relate to investment advisers.
December 21, 2020
Tags: AML, CFTC, Custody, SEC Investment Management
President Trump has signed into law the Holding Foreign Companies Accountable Act to restrict the ability of foreign issuers to trade on U.S. exchanges if their auditors are not inspected by the Public Company Accounting Oversight Board.
December 21, 2020
Tags: Disclosure, Jay Clayton, Mutual Funds, PCAOB, SEC Investment Management
The SEC’s Division of Investment Management announced a new web intake form for no-action and interpretive letter requests and related procedures.
December 15, 2020
SEC IM Director Dalia Blass Reflects on Division’s Work
In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s hard work and accomplishments throughout the year.
November 17, 2020
Tags: Coronavirus, COVID-19, Custody, Dalia Blass, Proxy Voting, Registered Funds, SEC Investment Management
SEC Investment Management Seeks Feedback on MiFID II’s Impact on Research for Advisers
The SEC’s Division of Investment Management staff is once again actively seeking feedback from asset managers on a number of questions regarding MiFID II and payments for research.
September 23, 2020
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division.
August 11, 2020
Tags: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management
The IAA submitted a comment letter to the SEC supporting comments by another trade association.
July 10, 2020
SEC Provides No-Action Relief Related to Participation in Fed Lending Facility
The SEC’s Division of Investment Management has issued a no-action letter related to participation in the Federal Reserve Board’s 2020 Term Asset-Backed Securities Loan Facility, or TALF 2020.
June 03, 2020
Tags: No-Action Letter, Federal Reserve Board, Investment Company Act, SEC Investment Management
The SEC’s Division of Investment Management staff has issued a statement regarding the relationship between a section of the Investment Company Act that requires fund shares to have equal voting rights, and state control share statutes that provide a company with the right to change or remove voting rights when a person acquires the ownership of shares equal to or exceeding a specified percentage of the company’s voting power (control shares).
June 03, 2020
Division of Investment Management Reminds Investment Companies of their Disclosure Obligations
The SEC’s Division of Investment Management recently issued a staff statement reminding investment companies to update and deliver required disclosures to investors in a timely manner.
April 17, 2020
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