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Mitigation of Investment Adviser Business Interruption and Regulatory Noncompliance Risks Related to COVID-19—Update

UPDATE: Since the publication of our Investment Adviser Alert, the staff of the SEC Division of Investment Management has issued several new and updated responses to Coronavirus (COVID-19) FAQs, expanding on prior guidance...more

Mitigation of Investment Adviser Business Interruption and Regulatory Non-Compliance Risks Related to COVID-19

The SEC and CFTC grant conditional filing extensions as firms address business continuity and risks related to the pandemic. Conditional filing extensions are available to investment advisers and certain registered funds if...more

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