I. EXECUTIVE SUMMARY - On 7 October 2020, the Securities and Exchange Commission (the SEC) adopted new rule 12d1-4 (Rule 12d1-4) and related amendments under the Investment Company Act of 1940 (the 1940 Act) that it believes...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 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