George Zornada

K&L Gates LLP

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SEC Adopts New Rule 12d1-4 Overhauling Fund of Funds Arrangements--Are You Ready?

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

10/27/2020 / ETFs , ETMFs , Investment Adviser , Investment Companies , Investment Company Act of 1940 , Investment Funds , Securities and Exchange Commission (SEC) , Voting Requirements

Offering Reforms or Burdensome Regulations? It Depends!

SEC Proposes Reforms for Registration Process of Closed-End Funds and Business Development Companies - On March 20, 2019, the Securities and Exchange Commission (“SEC”) proposed several rules (the “Proposed Rules”) that...more

4/1/2019 / Business Development Companies , Closed-End Funds , Investment Companies , Investment Company Act of 1940 , Proposed Rules , Prospectus , Registration Statement , Securities and Exchange Commission (SEC)

SEC Proposes a New Rule for Fund of Funds Arrangements

I. Executive Summary - On December 19, 2018, the Securities and Exchange Commission (the “SEC”) proposed new rule 12d1-4 (the “Proposed Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”) in order...more

1/9/2019 / Form N-CEN , Investment Adviser , Investment Companies , Investment Company Act of 1940 , Investors , Proposed Rules , Securities and Exchange Commission (SEC)

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