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May 9, 2022
K&L Gates Webinar: The Rise of the Derivatives Risk Manager, May 12 1 p.m. ETOn Thursday May 12, 2022, K&L Gates partner Michael W. McGrath will be speaking on a virtual panel for the Global Association of Risk Professionals (GARP) called “The Rise of the Derivatives Risk Manager.”
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May 6, 2022
Cybersecurity and the Evolving Threat Landscape: The Role of the Independent DirectorIn May 2022, MFDF and Deloitte released Cybersecurity and the Evolving Threat Landscape: The Role of the Independent Director.
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May 5, 2022
Institutional Investors Release Proxy Guidelines on Board Composition, Compensation, Other TopicsThe proxy voting policy updates focus on executive compensation, compensation committee voting, human capital management, board composition and board of director over-boarding.
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May 4, 2022
Ropes & Gray Report Summarizes Key Industry ConferenceA memorandum from Ropes & Gray’s summarizes the 2022 Investment Management Conference sponsored by the Investment Company Institute. The conference included sessions that discussed the following industry and regulatory developments, among others.
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May 3, 2022
Deloitte Releases Report on Future of ESG InvestingThe report notes that at the current growth rate, ESG products are likely to represent half of all professionally managed assets globally by 2024.
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April 28, 2022
Questions to Ask Before Joining BoardThe lawyers advise candidates to conduct their due diligence on the company’s financial and operational performance, its material risks, its approach to internal controls, potential conflicts of interests, among other issues.
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April 27, 2022
Ropes & Gray Alert Discusses Closed-End Funds RulingThe district court focused principally on the definition of “voting security” under the 1940 Act to inform its decision.
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April 26, 2022
Gensler Delivers Remarks on Climate Risk Disclosures; Climate Funds’ Assets RisingGensler noted the SEC “has a role to play in terms of bringing some standardization to the conversation happening between issuers and investors, particularly when it comes to disclosures that are material to investors.”
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April 25, 2022
MFDF WEBINAR: Intermediary Fees Trends, April 26, 2-3 pm ETAs part of MFDF's new 15(c) Contract Renewal webinar series, speakers from Barrington Partners will discuss the latest trends in intermediary fees issues.
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April 21, 2022
Gensler Discusses “Team Cyber” and Recent Rule ProposalsGensler stated he has “asked staff to consider recommendations around how we can further address cybersecurity risk that comes from service providers.”
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April 20, 2022
Senate Banking Ranking Member Toomey Releases JOBS Act 4.0 Discussion DraftThe JOBS Act 4.0 would, among other things, expand the definition of “qualifying investments” by venture capital funds and double the number of limited partners allowed in certain venture capital funds and broaden the definition of accredited investors to those who pass an SEC-designed test.
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April 19, 2022
SEC Releases Rule Proposal Addressing SPACsThe proposals require enhanced disclosure and increase potential liability under the federal securities laws for shell companies and SPACs, and would subject target companies and investment banks participating in de-SPAC transactions to new disclosures.
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April 18, 2022
MFDF WEBINAR: Democratization of Alternatives: ’40 Act Interval and Tender Offer Funds, April 19, 2-3 pm ETSpeakers from UItimus and CAIS will discuss why interval and tender offer funds continue to attract attention from investors and advisors. The panel will take a deep dive into recent activity, highlighting the attraction of alternative strategies to the retail market.
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April 18, 2022
Gensler Delivers Remarks on Crypto MarketsGensler called for crypto platforms to be registered and regulated much like exchanges.
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April 15, 2022
Forum Comment Letter on Cybersecurity Risk ManagementOn April 11, 2022, the Forum submitted a comment letter in response to the SEC's rule proposals regarding cybersecurity risk management programs.
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April 15, 2022
Forum Comment Letter on Money Market Fund ReformsOn April 11, 2022, the Forum submitted a comment letter in response to the SEC's rule proposals regarding money market fund reforms.
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April 14, 2022
President Biden Releases FY2023 Proposed BudgetIn the SEC’s 2023 congressional budget request Chairman Gary Gensler requested $2.149 billion for the agency in support of 5,261 positions and 4,808 full-time equivalents.
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April 13, 2022
House Financial Services Subcommittee Examines Stock ExchangesThe hearing focused on topics such as access to market data, anti-money laundering policies, and competition among exchanges, among other issues.
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April 12, 2022
California Judge’s Ruling Spells Defeat for Board Diversity LawThe Wall Street Journal reports that the “quota” law was the first of its kind in the U.S. and followed a similar California measure enacted in 2018 that mandated female directors on all boards of the state’s public companies, which is also facing legal challenges.
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April 11, 2022
SEC Division of Examinations Announces 2022 PrioritiesEXAMS will focus on private funds, ESG investing, retail investor protections, information security and operational resiliency, emerging technologies, and crypto assets.
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