News

May 14, 2020

Lawyers from Shearman & Sterling discuss best practices and considerations for companies and their boards as they confront current crises with a focus on succession planning.

May 13, 2020

Join KPMG partners, Brent Oswald and John Russo, to discuss accounting and reporting challenges as a result of the current business and market disruption and economic uncertainty.

May 12, 2020

Vedder Price lawyers look at the key market issues affecting funds and list some evolving areas for board consideration in the coming weeks, including how other countries’ response to the virus might limit trading, prompt market closures or prohibitions on short selling.

May 11, 2020

May 7, 2020

The group will assist the Commission and its various divisions and offices in Commission and staff actions and analysis related to the effects of COVID-19 on markets, issuers, and investors and responding to requests for information, analysis and assistance from fellow regulators and other public sector partners.

May 6, 2020

Join Clair Pagnano and Jon-Luc Dupuy, partners from K&L Gates as they highlight the issues related to money market funds during the COVID-19 pandemic.

May 5, 2020

ACA Compliance in recent guidance lists some measures that can enhance teleconferencing security.

May 5, 2020

While Commissioner Peirce generally praised the proposal, she expressed concern about its potentially “overly prescriptive approach to ensuring adequate board administration of the fair valuation process.”

May 4, 2020

Join Ropes & Gray LLP partners Paulita Pike, Elizabeth Reza and Adam Schlichtmann as they discuss these issues and share practical insights for Boards.

April 30, 2020

There are several process, business and legal reasons why certain matters are not described in detail in minutes, and the decision is not driven simply by a fear of litigation.

April 29, 2020

Morningstar notes that investors pulled $326 billion from mutual funds and ETFs overall in March — more than three times the $104 billion in outflows in October 2008 during the last major financial crisis.

April 29, 2020

Join Marcy Kempf and Aly Cottam, partners from Cohen & Company, for a walk through of the relevant rules that govern auditor independence within the registered fund environment, as well as hear about recent rule changes, final and proposed, that the SEC has made regarding auditor independence.

April 28, 2020

Join Broadridge experts on April 29, 2020 at 10 a.m. in a webinar as they use a case study format to answer key questions for fund boards on active funds' recent performance.

April 27, 2020

Lawyers write that the proposal’s requirements for directors “would increase board members’ de facto involvement in the oversight of funds’ derivatives use compared to current practice.”

April 23, 2020

Lawyers from Pillsbury Shaw in a memo identify fundamental and practical challenges to the deal-making process and analyze how the global pandemic may play out in merger negotiations.

April 22, 2020

Auditors tell media social distancing mandates have stopped on-site visits to count inventory and review internal controls.

April 22, 2020

Proposed rule 2a-5 under the 1940 Act would establish requirements for satisfying a fund board’s obligation to determine fair value in good faith for purposes of the 1940 Act.

April 21, 2020

Public companies urged to provide as much information as is practicable to investors regarding their current financial and operating status, and future operational and financial planning.

April 20, 2020

Nathan Briggs, a partner at Ropes & Gray, will discuss several of the most important issues for directors to consider in connection with the Offering Reform as well certain issues arising that are unique to closed-end funds as a result of COVID-19.

April 16, 2020

The SEC said the rule amendments are designed to streamline the registration, offering and investor communications processes for BDCs and registered closed-end funds.