In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
In this issue, we discuss, among other things, recently adopted rule amendments on proxy voting disclosures by registered funds, “say-on-pay” voting disclosures by institutional inves...
In this issue, we discuss, among other things, recently adopted rule amendments on “say-on-pay” voting disclosures by institutional investment managers and proposed new oversight requ...
The SEC’s newly proposed amendments would require updates to ‘40 Act fund liquidity risk management programs and would require swing pricing for certain funds. The proposal is designed ...
Webinar
0.5 CA - General; NY - Professional Practice / Practice Management
Davis Polk invites you to view a webinar for private fintech companies. This program is designed for senior in-house legal personnel, C-suite executives and strategic decision makers.Chal...
The SEC’s new rule and amendments require registered funds to comply with enhanced and standardized reporting requirements on proxy voting and require institutional investment managers ...
The SEC’s new amendment requires that mutual funds and exchange-traded funds highlight certain key information in annual and semi-annual shareholder reports and provide additional fee a...
