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Filter By DEI Resources
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FinCEN Issues Notice of Proposed Rulemaking on AML
The FinCEN proposed rulemaking would require certain investment advisers to apply AML and Countering …
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Ropes & Gray Publishes December/January Investment Management Update
The report highlights legal developments in the financial services space, including: Tailored Shareholder …
- Webinar Archive: What's in a Name (and What Does it Say About Your Fund)? - SEC's Amended Names Rule
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MFDF Webinar: ESG Data: Updates on an Evolving Regulatory and Product Landscape
The Mutual Fund Directors Forum and ACA Global will host a webinar entitled, “ESG Data: Updates on an …
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Ropes & Gray Releases Podcast on Data and Cybersecurity
The Ropes & Gray series focuses on the legal and regulatory developments in the world of data, …
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UMD April 2023 Agenda
ESG Oversight: The Fundamentals in an Evolving Space for Fund Boards April 12, 2023 – Washington, DC …
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Federal Reserve Releases Report on Liquidity Tools for Open-End Funds
Federal Reserve Board staff offer their views in an article titled, “New Insights from N-CEN: Liquidity …
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2022 LSP Proposal
Investment Adviser Marketing Rule © 2022 Dechert LLP The SEC’s Swing Pricing and Liquidity …
- Webinar Archive: The SEC's Swing Pricing and Liquidity Proposal: What You Should Know
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Kirkland & Ellis Releases Alert Highlighting SEC Scrutiny of ESG Claims by Advisers
The alert highlights how the fact pattern of the GSAM case varied slightly from the BNY Mellon order …
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EY to Host Program Covering Reporting and Regulation for Registered Funds
Ernst & Young will host a virtual program covering regulatory and reporting updates for registered …
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SEC Releases FY22-26 Strategic Plan
the SEC released its Strategic Plan for fiscal years 2022 to 2026 which outlines the agency’s objectives …
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MFDF Upcoming Webinar: Deloitte's 20th Annual Fair Valuation Pricing Survey
Join the Mutual Fund Directors Forum and Deloitte on Thursday, December 8 at 2pm ET for a webinar …
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K&L Gates to Host Webinar on Disclosure Modernization
K&L Gates plans to host a webinar covering the SEC’s final rule on tailored shareholder reports. The …
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SEC Adopts Final Rule on Enhanced Proxy Voting Disclosure
The SEC announced a final rule requiring amendments to Form N-PX that will “enhance the information mutual …
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SEC Adopts Final Rule on Streamlined Shareholder Reports
The SEC unanimously adopted a final rule on shareholder reports for open-end mutual funds and ETFs registered …
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SEC Proposes New Rules for Open-End Funds
The SEC proposed new rules governing liquidity of open-end funds, including mandating swing pricing for …
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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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SEC Releases Draft Strategic Plan for FY22-26
The SEC published a draft Strategic Plan spanning FY2022-2026 that establishes three primary goals for …
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Senator Introduces Legislation Requiring the DOL Study on Fund Fee Transparency
A Democratic Senator recently introduced legislation called the “Savvy Savers Act” (S.4361) that would …