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Filter By DEI Resources
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Yellen Testifies on Capitol Hill on FSOC Annual Report
The hearings focused on the regulation of nonbank financial companies, SIFI designation, Basel III …
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Nasdaq Releases Report on Expected 2024 Boardroom Trends
The report highlights areas in risk oversight, technology and data security, and board …
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Event of Interest: Morgan Lewis Plans to Hold AI Webinar Series
The program will touch on the challenges and opportunities AI presents for the regulatory landscapes …
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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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Birdthistle to Leave SEC March 8
The Securities and Exchange Commission (SEC) announced that William Birdthistle, the Director of the …
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Registered Closed-End Funds May Exclude Investor’s Advisory Proposal to Declassify Board
The Securities and Exchange Commission granted relief to three Nuveen closed-end funds to exclude a shareholder …
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MFDF Webinar: Fund Industry Claims Trends: An Insurer’s Perspective
ICI Mutual will provide historical context, discuss current fund industry claims, and offer observations …
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SEC Settles Charges with 16 Firms for Recordkeeping Failures
On February 9, the Securities and Exchange Commission (SEC) announced the latest round of settlements …
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Gensler Delivers Remarks on Artificial Intelligence in Finance
Chair Gensler emphasized that AI has the potential to transform markets, offering benefits such as improved …
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MFDF Webinar: Potential Hurdles of Investment in China and other Emerging Markets
Ama A. Adams, Managing Partner at the Ropes & Gray Washington, DC office and Paulita A. Pike, Managing …
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Join the Mutual Fund Directors Forum in Washington DC March 7-8 for the Fund Governance and Regulatory Insights Conference
The conference will allow fund directors, CCOs, and industry colleagues to engage with key topics and …
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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 …
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MFDF Webinar: Proxy Voting by Asset Managers: Current Trends and Issues
The Mutual Fund Directors Forum and Morgan Lewis plan to host a webinar titled, “Proxy Voting by Asset …
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Brookings Releases Report on Private Credit, Financial Stability Risk
The article highlights the differences between private credit and private equity, discusses the drastic …
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Event of Interest: Stradley to Host SEC Enforcement Webinar
Enforcement lawyers at Stradley Ronon will review key enforcement themes and results for fiscal year …
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SEC Finalizes SPAC Transaction Rules
The Securities and Exchange Commission (SEC) voted 3-2 to adopt final rules concerning SPAC initial public …
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House Financial Services Subcommittee Examines SEC Climate Proposal
The hearing focused on the Commission’s proposed rulemaking on corporate issuers’ disclosure of climate …
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SEC, FINRA, NASAA Release AI, Emerging Technologies Investor Alert
The SEC’s Office of Investor Education and Advocacy, along with FINRA and the North American Securities …
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Event of Interest: K&L Gates to Host 2023 Regulatory Year in Review Webinar
K&L Gates partners will look back at the Commission’s 24 adopted rules and 18 new proposals, while also …
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Fuse Research Highlights Trends When Bringing Mutual Funds to Market
According to the Fuse data, of funds launched between the second quarter of 2013 and the second quarter …