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Filter By DEI Resources
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SEC's Amended Names Rule
What’s in a Name (and What Does it Say About Your Fund)? SEC’s Amended Names Rule Copyright …
- 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: Looking Back and Forward at the SEC’s Rule for Fair Value
The Mutual Fund Directors Forum and Stradley Ronon will co-host a webinar titled “Looking Back and Forward …
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MFDF Webinar: SEC’s Amended Names Rule
Neesa Patel Sood and Jay Spinola, partners at Willkie Farr & Gallagher LLP, will provide an overview …
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Gensler Delivers Remarks on Securities Law Enforcement
Gary Gensler delivered remarks on the importance of attorneys, accountants, and compliance professionals …
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SEC Enforcement Director Delivers Remarks on Compliance Programs, Professionals
Gurbir Grewal the Director of the Division of Enforcement at the Securities and Exchange Commission …
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SEC Adopts New Rules for Securities Lending
The Securities and Exchange Commission (SEC) adopted new Rule 10c-1a which will require covered persons …
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SEC 'Off-Channel' Communications Sweep Settlement Update
The Securities and Exchange Commission (SEC) announced settlements with 10 broker-dealers and affiliated …
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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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Gensler Testifies During House Financial Services Hearing
Securities and Exchange Commission (SEC) Chair, Gary Gensler, testified in front of the full House Financial …
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SEC Proposes Rule on AI Predictive Analytics
The Securities and Exchange Commission (SEC) proposed a rule to regulate potential conflicts of interest …
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Director Birdthistle Testifies in Capital Markets Subcommittee Hearing
Director of the Division of Investment Management, William Birdthistle, testified in front of the House …
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SEC Publishes Examinations Risk Alert
The Risk Alert notes there are more than 15,000 registered investment advisers managing over US$115 trillion …
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MFDF Webinar: Introduction to Retail Private Markets Funds
Tomorrow, the Mutual Fund Directors Forum and Simpson Thacher & Bartlett LLP will host a webinar …
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Senate Banking Committee Hears Testimony from SEC Chair Gensler
The hearing covered a variety of issues including cryptocurrency regulation, swing pricing, the pace …
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SEC Finalizes Names Rule Amendments
Yesterday, the Securities and Exchange Commission by a vote of 4-1 advanced a final rule on Investment …
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Event of Interest: Dechert to Host California Investment Management Symposia
Dechert plans to host the firm’s California Investment Management Symposia which will highlight the intersection …
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Event of Interest: Morgan Lewis to Host Registered Funds Trends and Developments Webinar
Morgan Lewis plans to host a webinar titled, “Registered Funds Trends and Developments Quarter in …
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Navigating Recent SEC Rulemakings - MMF Reforms
Money Market Fund Reform Money Market Fund Reforms NAVIGATING THE RECENT SEC RULEMAKINGS …
- Webinar Archive: Navigating the New Money Market Fund Reforms