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Filter By DEI Resources
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SEC Reopens Comment Period for Cybersecurity Risk Management Proposal
The Commission states the reopening of the comment period “will allow interested persons additional time …
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House Capital Markets Subcommittee Leaders Send Letter to Gensler on Swing Pricing
House Financial Services Subcommittee on Capital Markets Chair Ann Wagner (R-MO) and Ranking Member Brad …
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MFDF Webinar: “Fallout from the SEC’s Swing Pricing and Hard Close Proposals”
The March 16 webinar will examine the real world operational challenges mutual funds face if proposed …
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SEC Proposes Changes to Advisers Act Custody Rule
The Commission recently proposed changes to the Custody Rule (Rule 206(4)-2) of the Investment Advisers …
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Event of Interest: Dechert to Host Compliance and Regulatory Priorities Webinar
The webinar will focus on updates for compliance and legal professionals, but plans to cover recent and …
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Morgan Lewis Releases Report on SEC Exams and Enforcement Developments
Of relevance to fund directors, the report highlights a summary of ESG-related enforcement actions including …
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Event of Interest: Seward and Kissel to Host Webinar on Off-Channel Communications and Recordkeeping Responsibilities
Seward & Kissel partners from the firm’s Government Enforcement and Internal Investigations Group will …
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K&L Gates Publishes “ESG and the Sustainable Economy Handbook”
K&L Gates published a series entitled the “ESG and the Sustainable Economy Handbook” which examines …
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SEC Finalizes Rule on T+1 Settlement Cycle
the Securities and Exchange Commission finalized its rule proposal shortening the settlement cycle of …
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SEC Division of Examinations Releases 2023 Priorities
The SEC's Division of Examinations staff identified ESG-related investments and strategies that incorporate …
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Fund Boards Submit Comments on SEC Swing Pricing, Liquidity Management Proposal
Over 25 fund boards submitted comment letters opposing the swing pricing mandate, imposition of the hard …
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Mutual Fund Directors Forum Submits Comments on SEC Swing Pricing, Liquidity Rule Proposal
This week, the Mutual Fund Directors Forum submitted written comments to the SEC’s proposal that would …
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MFDF Webinar: An Overview of Current Tax Landscape for the Fund Industry
The Forum, in conjunction with Ernst & Young, plans to host a webinar entitled, “Tax Update: An Overview …
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SEC Issues Regulatory Bulletin on Fund Fee Waivers
The SEC recently issued a regulatory bulletin entitled, “Differential Advisory Fee Waivers" which is …
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SEC Commissioner Uyeda Delivers Remarks on ESG
EC Commissioner Mark Uyeda delivered remarks entitled “ESG: Everything Everywhere All at Once” highlighting …
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Davis Polk Releases 2023 Regulatory Reform Forecast
Davis Polk recently released the “Financial Services Regulatory Reform: Winter Forecast Edition” which …
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Prudential Regulators Issue Joint Statement on Crypto-Asset Risks to Banking Entities
The statement highlights key risks associated with digital assets implemented using cryptographic …
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Event of Interest: ESG & Alternative Investment Managers – 360 Degree View
ASC Advisors, Seward & Kissel, and PRI plan to host a webinar titled “ESG & Alternative Investment Managers …
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MFDF Webinar: What You Need to Know About the SEC’s Swing Pricing Proposal
The SEC’s swing pricing proposal would mandate swing pricing for most open-end funds (excluding money …
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Blog Post on Corporate Governance Highlights Challenges in Human Capital
The post notes that boards are hearing more about work-force related matters such as “culture, …