SEC Rules and Regulations
SEC Extends No-Action Relief to Three Derivatives Clearing Organizations Regarding Custody Rule
Industry Update
SEC’s National Examination Program Releases ...
SEC Rules and Regulations
SEC Issues Exemptive Relief for Non-Transparent ETMFs
SEC Staff Responds to Questions About Form PF
Industry Update
SEC Chair Discusses Risk Monitoring ...
SEC Rules and Regulations
SEC Issues Preliminary Denial to Exemptive Relief Applications for Operation of Non-Transparent Active ETFs
Industry Update
CFTC Announces Self-Executing...
Industry Update
IM Director Discusses Changing Regulatory Landscape for Hedge Fund Managers
CFTC Grants No-Action Relief for Certain CPOs of Pools with Wholly-Owned Trading Subsidiari...
The move toward stricter regulation of remuneration in the financial services industry in the European Union has continued over the course of the past year, rendering the web of overlappi...
SEC Rules and Regulations
SEC Adopts Final Rules to Reform Money Market Funds
Industry Update
SEC Director of Division of Investment Management Speaks on Industry Outreach and Rec...
On July 23, 2014, the Securities and Exchange Commission adopted significant amendments to rules under the Investment Company Act of 1940 and related requirements that govern money market...
The power and influence of proxy advisory firms in affecting the outcome of shareholder meetings have been hotly debated in recent years, with many seeking a regulatory solution. Yesterd...
