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Birdthistle Speech Highlights Recently Proposed Open-End Fund Rules
Investment Management Division Director William Birdthistle delivered remarks on international regulatory …
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Senate Banking Committee Hears Testimony from Financial Regulators
The Senate Banking Committee heard testimony from heads of financial regulatory agencies including the …
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Event of Interest: Deloitte to Host Mutual Fund Directors’ Exchange Roundtable
Deloitte plans to host a virtual roundtable titled “The Mutual Fund Directors’ Exchange.” The program …
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SEC Proposes Rules on Treasury Market Structure
The SEC proposed new rules for Treasury market clearinghouses in response to volatility in the Treasury …
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Senate Banking Committee Hears Testimony from Chair Gensler
SEC Chair Gary Gensler testified in front of the Senate Banking Committee covering issues such as digital …
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Treasury and Department of Justice Release Recommendations on Digital Asset Regulation
The Department of the Treasury and the Justice Department (DOJ) released reports outlining the …
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U.S. and Chinese Regulators Reach Agreement on Oversight of Audit Firms Based in China
After months of negotiations, the PCAOB, the China Securities Regulatory Commission, and the Ministry …
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Harvard Law Blog Post Details Concerns Surrounding ESG Data
In recent years, the demand for ESG data has exploded, including demand from investors, companies, and …
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MFDF Webinar Tomorrow: What the Mutual Fund Industry Should Understand About Digital Assets
The Forum will host a webinar with Perkins Coie to discuss investment and regulatory updates regarding …
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FSOC Meets to Discuss Progress on Climate Related Programs
The Financial Stability Oversight Council convened to discuss progress made by the Council and its members …
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Birdthistle Speaks on SEC’s Regulatory Agenda, Priorities at PLI Conference
The SEC’s Director of the Division of Investment Management, William Birdthistle, delivered prepared …
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SEC Requests Comments on Whether Certain Information Providers Function as Investment Advisers
The SEC recently issued a “Request for Comment on Certain Information Providers Acting as Investment …
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CFTC Division of Market Oversight Director Testifies on Digital Assets
CFTC Director of the Division of Market Oversight, Vincent McGonagle, testified at a House Agriculture …
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Interesting Listen: Ropes & Gray Podcast on Stablecoins
Ropes & Gray recently released a podcast discussing stablecoins generally, including how they are intended …
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SEC to Launch “Game Show-Themed” Public Service Campaign
The SEC plans to launch a game show-themed public service campaign to encourage investors to “research …
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CFTC Releases Request for Information on Climate-Related Financial Risk
The CFTC unanimously voted to release a Request for Information (RFI) that seeks public comment on …
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SEC’s Enforcement Director Slams Delays in Litigation, Document Production
Grewal's remarks note that while a “zealous advocacy” is required, delay tactics, slow document …
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SEC EXAMS Division Releases Risk Alert on MNPI
The SEC staff found evidence of advisers that “did not have policies and procedures in place to assign …
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SEC RIC Examinations
PowerPoint Presentation Mutual Fund Directors Forum Observations from SEC Examinations of Registered …
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Risk Alert Identifies Deficiencies in Compliance Programs, Board Practices
The staff also looked at fund governance practices, particularly as they relate to the deliberative processes …