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Filter By DEI Resources
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Event of Interest: Dechert Hosts Webinar Covering Names Rule Amendments
Dechert Partners will cover emerging issues and interpretive questions under the amended Names Rule.
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Gensler Delivers Remarks During SEC’s 90th Anniversary ‘Eras Tour’
In his remarks, SEC Chair Gary Gensler detailed the various historical inflection points in securities …
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MFDF Webinar: Digital Assets in the Fund Space
In the first of this two-part series, EY's Prashant Kher and Brendan Maher will discuss the digital asset …
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ACA Publishes Article, White Paper on Basics of Interval and Tender Offer Funds
The paper breaks down the basics of these closed-end fund products including how shares are offered, …
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SEC Hosts Second Conference on Emerging Trends in Asset Management
The conference focused on trends in products and strategies, technology, and regulation. Former MFDF …
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SEC Adopts Regulation S-P Enhancements
On May 16, the SEC adopted rule amendments that require registered funds, among other entities, to adopt …
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ACA Highlights 8 Steps CCOs Should Take to Prepare for AI Regulation
These steps include taking an inventory of the firm’s current AI use, assessing the risk, implementing …
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FinCen, SEC Issue Proposed Rulemaking for Customer Identification Programs for Registered Investment Advisers
FinCEN and the SEC jointly released a notice of proposed rulemaking on Customer Identification Programs …
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SEC Marketing Risk Alert and Exam Findings
The Risk Alert noted that key violations stemmed from overt violations of prohibitions in the marketing …
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Morgan Lewis Plans to Host Technology Webinar Series
Several of these programs may be of interest to fund directors as they plan to discuss engaging with …
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Cboe Files for ETF Share Class
Cboe’s application joins eight asset managers seeking to establish an ETF share class for certain …
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Division of Investment Management to Host Conference on Emerging Trends
The conference, started in 2023 by former IM Director William Birdthistle, will feature remarks from …
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DOL Releases Final Investment Advice Fiduciary Rule
The Department of Labor released a new set of rules for fiduciary investment advice titled, the “Retirement …
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SEC Releases Registered Fund Statistics Report
The Securities and Exchange Commission (SEC) released a new report titled “Registered Fund …
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MFDF Webinar: Fireside Chat with Former IM Director William Birdthistle
MFDF President Carolyn McPhillips will host a virtual fireside chat with former SEC Investment Management …
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Commission Charges First Stand-Alone Investment Advisor in Off Channel Communications Enforcement Action
The SEC’s sweep of off-channel communications enforcement actions over the past several years has now …
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PWC Releases 2023 Mutual Fund Directors Governance Survey
PWC recently released their “2023 Mutual Fund Governance Survey” which highlights how investor …
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SEC Announces Settlements for Marketing Rule Violations, Releases Marketing Rule Risk Alert
The SEC announced that it had settled charges against five registered investment advisers for violations …
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Highlights of SEC Speaks 2024
Among the highlights of the sessions, Chair Gensler offered a historical overview of securities laws …
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SEC Voluntarily Stays Implementation of Climate Rule
The Securities and Exchange Commission (SEC) announced it would voluntarily stay the implementation of …