2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more
2/12/2025
/ Asset Management ,
Australia ,
Capital Markets ,
Cryptoassets ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Financial Services Industry ,
Foreign Investment ,
Hong Kong ,
Investment Firms ,
Investment Funds ,
Investment Management ,
Investors ,
Japan ,
Regulatory Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Singapore ,
Sustainability ,
Sustainable Finance
I. SUMMARY - On 25 May 2022, the U.S. Securities and Exchange Commission (the SEC) proposed amendments (the Proposed Amendments) to Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940, as amended in its...more
OVERVIEW OF THE ETF RULE -
- On September 25, 2019, the SEC approved Rule 6c-11 under the 1940 Act (the “ETF Rule”) and related amendments to Form N-1A
- The ETF Rule will rescind previously-issued exemptive orders of...more
OVERVIEW -
- Background
- Overview of the Rule
- Exemptions Granted by Rule
- Changes Made by Rule to Current ETF Regulatory Scheme
- Key Board Interests
...more
On June 28, 2018, the Securities and Exchange Commission (“SEC”) amended certain disclosure requirements related to the “Liquidity Rule” — Rule 22e-4 — for open-end funds (except money market funds) registered under the...more
7/26/2018
/ Disclosure Requirements ,
Form N-PORT ,
Investment ,
Investment Companies ,
Investment Company Act of 1940 ,
Liquidity ,
Liquidity Risk Management Rule ,
Reporting Requirements ,
Risk Management ,
Rule 22e-4 ,
Securities and Exchange Commission (SEC)
On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to public liquidity-related disclosure requirements mandated by Rule 22e-4 under the Investment Company Act (the “Liquidity Rule”). ...more
On September 22, 2015, the Securities and Exchange Commission (“SEC”) proposed a new rule and amendments to rules and reporting forms under the Investment Company Act of 1940 (the “1940 Act”), designed to standardize...more
10/26/2015
/ Comment Period ,
Compliance ,
Disclosure Requirements ,
EFTs ,
Exchange-Traded Products ,
Federal Register ,
Financial Institutions ,
Form N-CEN ,
Form N-PORT ,
FSOC ,
Hedge Funds ,
Investment ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Management ,
Investment Portfolios ,
Investors ,
Liquidity ,
Liquidity Risk Management Rule ,
Money Market Funds ,
Mutual Funds ,
New Guidance ,
Portfolio Managers ,
Public Comment ,
Regulation S-X ,
Reporting Requirements ,
Risk Assessment ,
Risk Management ,
Rule 22e-4 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholders ,
Swing Pricing ,
U.S. Navy ,
UCITS
On May 20, 2015, the Securities and Exchange Commission (“SEC”) proposed rules, forms and amendments under the Investment Company Act of 1940 (the “1940 Act”) and related regulations (together, the “Proposed Amendments”) that...more