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Filter By DEI Resources
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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 …
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MFDF Publishes Article on AI, What Fund Boards Need to Know
In early April, MFDF published an Investment Lawyer article titled, “Artificial Intelligence …
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Event of Interest: K&L Gates to Host Webinar on AI Regulatory, Compliance Issues for Asset Mangers
Panelists will discuss the future of SEC regulation of AI and predictive data analytics, congressional …
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SEC Releases Risk Alert on Shortened Settlement Cycle
The Division of Exams highlights the impact the shortened settlement cycle will have on market participants …
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Lawsuits Commence Over Commission’s New ESG Rule
After the Commission released its final rule “The Enhancement and Standardization of Climate-Related …
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SEC Announces Enforcement Actions Against “AI-Washing” Advisers
On March 18, the Securities and Exchange Commission announced an enforcement action against two investment …
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EY Releases Update on Registered Funds Reporting and Regulation for 2024
A panel of EY financial services experts weighs in on the latest developments impacting registered …
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Fed Chair Powell Testifies on Capitol Hill
Federal Reserve Board Chairman Jerome Powell delivered testimony as part of the “Semi-Annual Monetary …
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Event of Interest: Navigating the SEC's Climate-Related Disclosure Ruling
Nasdaq plans to host a webinar titled “Navigating the SEC's Climate-Related Disclosure Ruling.” The program …