The Securities and Exchange Commission (the SEC) proposed comprehensive modifications to the disclosure framework for mutual funds and exchange-traded funds (ETFs and, collectively with mutual funds, funds). The purpose of...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more
5/25/2016
/ Anti-Money Laundering ,
Bank Accounts ,
Banking Sector ,
Beneficial Owner ,
Conflicts of Interest ,
Covered Financial Institutions ,
Customer Due Diligence (CDD) ,
Cybersecurity ,
Department of Labor (DOL) ,
Derivatives ,
ETFs ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
FinCEN ,
Form N-PORT ,
Industry Examinations ,
Investment Fraud ,
Investment Management ,
NPRM ,
OCIE ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more
3/25/2016
/ Anti-Money Laundering ,
Cybersecurity ,
Derivatives ,
ETFs ,
Exchange-Traded Products ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Fund Distribution ,
Investment Management ,
Money Market Funds ,
Mutual Funds ,
OCIE ,
Political Contributions ,
Regulatory Standards ,
Retirement Plan ,
SEC Examination Priorities ,
Whistleblowers