December 21, 2018
This alert provides an overview of the SEC’s proposed new rule and rule amendments regarding Fund of Funds Arrangements.
November 26, 2018
This alert discusses the recently released FAQ update on SEC fund reporting rules relating to the investment company reporting modernization reforms adopted in October 2016.
November 15, 2018
This alert summarizes the details of several new SEC compliance examination initiatives targeting certain categories of funds and/or investment advisers.
August 6, 2018
This alert provides an overview of the proposed rule, including how it would impact current ETF sponsors.
July 23, 2018
This alert provides an overview of OCIE’s latest risk alert, which identifies deficiencies uncovered from examinations of investment advisers’ compliance with their best execution obligations.
April 30, 2018
This alert outlines recent developments relating to cryptocurrency in the fund industry.
April 25, 2018
This alert outlines the agency’s recently proposed guidelines for investment professionals regarding how they advise and service their retail clients.
March 22, 2018
This alert summarizes various features of the proposed amendments to the SEC liquidity management rules released on March 14, 2018.
February 28, 2018
This alert outlines the delay of portions of the Liquidity Rules and summarizes key points of the new set of answers to FAQs about the rules.
February 20, 2018
The SEC unveiled a self-reporting initiative for advisers regarding disclosures of conflicts of interest related to share classes and 12b-1 fees.
February 15, 2018
This alert summarizes the changes made to Form ADV.
January 24, 2018
This alert provides a summary of the SEC’s frequently asked questions concerning its liquidity risk management rules, as well as practice points for compliance.
January 9, 2018
This alert explores some recent securities law developments in cryptocurrencies, blockchain technology developments in the fund industry, and related fund director responsibilities.