COVID-19 Update
SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak
CFTC and NFA Provide Temporary Regulatory Relief to Commodity...
The SEC provided additional temporary relief to help registered funds manage potential liquidity issues in the current market environment that may be caused by the COVID-19 outbreak. The ...
It is back to the future. Federal Reserve Chairman Powell pledged last night to fight the impact of the coronavirus (COVID-19) by using the “full range of tools” available to support ...
Rules and Regulations
Proposed Amendments to the Volcker Rule
SEC Issues Order Granting Exemptive Relief for Multi-Manager Fund Board Approval of Sub-Advisory Agreements Without In-Pe...
Rules and Regulations
Proposed Amendments to the Volcker Rule
Industry Update
SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resi...
Rules and Regulations
SEC Proposes to Expand Access to Private Offerings
SEC Proposes Rule Changes for Auditor Independence Requirements
Industry Update
SEC’s National Examination Pr...
Rules and Regulations
SEC Proposes to Expand Access to Private Offerings
SEC Proposes Rule Changes for Auditor Independence Requirements
Industry Update
SEC’s National Examinati...
The SEC Office of Compliance Inspections and Examinations (OCIE) recently published observations related to cybersecurity and operational resiliency practices observed in its examinations...
Proposed amendments to definitions of “accredited investor” and “qualified institutional buyer” would expand private-offering access for individuals and entities beyond current te...
Our client memorandum discusses the key takeaways and main provisions of proposed new Rule 18f-4 under the Investment Company Act of 1940. According to the proposing release, proposed Ru...
