On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping...more
The US Securities and Exchange Commission (Commission) adopted amendments to the rule governing money market funds on July 12, 2023 in an attempt to address concerns about institutional prime and institutional tax-exempt...more
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. The Amendments are intended to incorporate lessons learned from the COVID-19-related market...more
12/23/2021
/ Financial Regulatory Reform ,
Form N-MFP ,
Liquidity ,
Liquidity Fees ,
Money Market Funds ,
Proposed Amendments ,
Redemption Gates ,
Reporting Requirements ,
Rule 2a-7 ,
Securities and Exchange Commission (SEC) ,
Swing Pricing
Rule 12d1-4 under the Investment Company Act of 1940 permits funds to enter into “funds of funds” arrangements notwithstanding the prohibitions of Section 12(d)(1) of the Act of 1940, provided that certain conditions are met....more
5/3/2021
/ Asset Management ,
Derivatives ,
Environmental Social & Governance (ESG) ,
Financial Services Industry ,
Fund Managers ,
Fund of Funds ,
Investment ,
Investment Funds ,
Registered Funds ,
Regulatory Requirements ,
Valuation