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Filter By DEI Resources
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House Financial Services Committee Holds Hearing on SEC’s Climate Disclosure Rule, Agency Overreach
During the hearing, which heard testimony from several witnesses including former acting SEC Chair Elad …
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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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Dimon’s Annual Letter Highlights Challenges for Asset Management
In his annual letter to JP Morgan Chase & Co. shareholders, Chairman & CEO Jamie Dimon warned of several …
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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 Event: MPI's Annual Survey of Investment Firm Profitability and Economies of Scale
The webinar will highlight the latest from the MPI Annual Survey of Investment Firm Profitability and …
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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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Nasdaq Releases Article on Board Service During “Noisy” Times
The article notes that to fulfill their role, boards need to stay abreast of new developments and continue …
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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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MFDF Webinar: Closed-End Fund Litigation Update
The program will highlight recent court decisions, pending litigation, and an overview of CEF activism …
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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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SS&C Releases White Paper on the Rise of ETFs
The paper highlights the advantages of the ETF wrapper including intraday trading, tax efficiencies, …
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2024 MPI Annual Mutual Fund CCO Compensation Survey
Management Practice Inc. (MPI) is currently working on their annual “Survey of Mutual Fund Chief Compliance …
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Event of Interest: Brookings to Host Webcast on the Rise and Risk of Private Credit
The event will focus on the growth of private credit, concerns from certain banks about competition, …
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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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House Advances Closed-End Fund Bill, Obstacles Remain
The U.S. House of Representatives advanced a package of bills titled “Expanding Access to Capital Act …