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Disclosure Requirements › Exchange Traded Funds › Final Rules

K&L Gates LLP

ESMA Releases Final Draft RTS and Guidelines on Liquidity Management

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ESMA Guidelines and Final Draft RTS on Liquidity Management Tools of UCITS and Open-Ended AIFs - Pursuant to the revised Directive 2011/61/EU (AIFMD) and Directive 2009/65/EC (UCITS Directive), the European Securities and...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - January 2023

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REGULATORY UPDATES - Recent SEC Leadership Changes - The Securities and Exchange Commission (the “SEC”) announced that Megan Barbero, currently SEC Principal Deputy General Counsel, will be appointed General Counsel,...more

K&L Gates LLP

The SEC's New Rule Demonstrates That It Believes Shareholder Reports, Like Clothes, Should Be Tailored to You

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On 26 October 2022, the Securities and Exchange Commission (SEC) adopted final rules and form amendments (the Final Rules) representing significant reforms to the content and delivery of shareholder reports for open-end...more

A&O Shearman

A Summary: Changes to Exemptive Relief and Disclosure Requirements under the New ETF Rule

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On September 26, 2019, the Securities and Exchange Commission (the SEC) adopted a final rule under the Investment Company Act of 1940 (the “Investment Company Act”) that will enable most exchange-traded funds (“ETFs”) to...more

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