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
The Investment Management Update keeps you apprised of recent developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more
6/18/2019
/ Best Interest Standard ,
Broker-Dealer ,
Business Development Companies ,
Conflicts of Interest ,
Disclosure Requirements ,
ETFs ,
Financial Regulatory Reform ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
Offerings ,
Regulation S-P ,
Retail Investors ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Standard of Care
The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more
2/15/2019
/ 529 Plans ,
Anti-Money Laundering ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Elder Issues ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Form N-CEN ,
Initial Coin Offering (ICOs) ,
Investment Funds ,
Investment Management ,
MSRB ,
OCIE ,
Popular ,
Retail Investors ,
Risk Management ,
Robo-Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Token Sales