One of the most talked about topics in asset management is the possibility of offering Mutual Fund and ETF Classes in the same Fund. For fund sponsors and service providers looking to offer this service, there are significant...more
One of the most talked about topics in asset management is the possibility of offering Mutual Fund and ETF Classes in the same Fund. It appears that Funds may obtain the Relief necessary to offer these Share Classes in the...more
6/27/2025
/ Asset Management ,
Chief Compliance Officers ,
Disclosure Requirements ,
DTCC ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Sponsors ,
Investment Funds ,
Mutual Funds ,
Operational Requirements ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Share Class Structures ,
Share Classes ,
Shareholders
The 2025 ICI Investment Management Conference was noteworthy for the change in tone from the SEC officials in attendance, including Acting Chairman Mark Uyeda, as well as IM Director Natasha Greiner, who suggested that there...more
4/18/2025
/ Financial Markets ,
Financial Services Industry ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Proposed Rules ,
Regulatory Agenda ,
Regulatory Reform ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation