News

August 26, 2020

U.S. Chamber of Commerce Event: COVID-19 and the Future of Travel on Aug. 27 at 3 p.m.

August 25, 2020

U.S. equity funds’ $147 billion of net outflows puts 2020 on track to become the group's worst year ever, according to Morningstar.

August 24, 2020

“[M]arket volatility related to COVID-19 may have heightened the risks of misconduct in various areas that the staff believe merit additional attention,” OCIE wrote.

August 20, 2020

The extensions apply to the Money Market Mutual Fund Liquidity Facility, the Term Asset-Backed Securities Loan Facility, and the Paycheck Protection Program Liquidity Facility, among others.

August 19, 2020

Co-Director Stephanie Avakian will remain as chief of Enforcement Division.

August 18, 2020

Johnson Associates predicts the very success and efficiencies of remote working will lead to job reductions.

August 17, 2020

In an upcoming EY webcast on August 18 from 3-4:30 pm, panelists will explore the latest challenges and leading practices in board oversight of cybersecurity risks.

August 13, 2020

Join lawyers from Dechert on Thursday, August 20, 2020 at 11:30am - 1:45pm for the virtual event, "Permanent and Private Capital in the Time of COVID-19: Where We've Been and Where We're Going."

August 12, 2020

AST wrote that if the SEC proposal is approved, closed-end funds and BDCs would have less insight into who owns shares in their funds.

August 11, 2020

The DOL has received more than a thousand comments on a proposal that could limit ESG investments in certain funds.

August 10, 2020

The SEC said its proposed framework would provide an alternative approach to keeping investors informed about their ongoing fund investments.

August 6, 2020

The OCC in a release said it recognized the importance of digital assets and the authority for banks to provide safekeeping for such assets since 1998.

August 5, 2020

Nominee Caroline Crenshaw recently served as counsel to former Commissioners Kara Stein and Robert Jackson

August 4, 2020

OCIE said it has also observed an increase in sophistication of ransomware attacks on broker-dealers, investment advisers, and investment companies.

August 3, 2020

Blass said granting permanent relief on in-person meeting requirement makes good sense.

July 30, 2020

Researchers found that active funds underperformed their passive benchmarks during the ten-week period between February 20 and April 30.

July 29, 2020

The survey found that the hottest compliance topics in 2020 were business continuity plans and cybersecurity, with the pandemic taking up a significant portion of compliance departments’ attention.

July 28, 2020

Join Emily Lowe of Willis Tower Watson’s North America cyber team to discuss the fundamentals of cyber risk and what fund directors need to know to enhance their work on behalf of the shareholders.

July 27, 2020

Commissioner Allison Herren Lee dissented, describing the rule as unwanted, unwarranted and unworkable.

July 23, 2020

It may still be too soon to start scoring overall board performance but self-examination can be helpful while the issues are fresh in everyone’s minds and the urgency has somewhat abated.