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SEC Proposes to Modernize Disclosure Framework for Mutual Funds and Exchange-Traded Funds, Modify Fee Information in Investment Company and Business Development Company Advertisements

USA - September 1 2020 Full Article The Securities and Exchange Commission on August 5, 2020 unanimously approved proposed rule and form amendments (Proposed Rule) that…

Stephen T. Cohen, Stephanie Chaung, Allison M. Fumai, Megan C. Johnson, Mary Anne Morgan, Vince Nguyen, Brenden P.Carroll, Erin M. Randall

CLOs and Term Asset-Backed Securities Loan Facility (TALF)—We’re Not That Desperate (Yet)

USA - May 12 2020 As revised, TALF may provide a safety net in the event of catastrophic CLO market conditions but is not likely to meet the goal of reviving the…

Mary Bear, Christopher Desmond, Christopher P. Duerden, David Griffin, John M. Timperio

SEC Provides No-Action Relief from Certain Fund Director In-Person Meeting Requirements

USA - February 4 2019 The Staff of the SEC's Division of Investment Management (Staff) has issued a no-action letter permitting a registered fund's board of directors…

Robert J. Rhatigan, Douglas P. Dick, Corey F. Rose

A Touch Of Class: Mutual Fund Share Class Developments (Part 1)

USA - June 11 2018 Over the past two years, the mutual fund distribution and share class landscape has experienced considerable changes in light of several regulatory…

James V. Catano, Shayna Gilmore, Melissa O'Neill, Jeffrey S. Puretz, Christine Ayako Schleppegrell

Treasury’s Third Report on Financial System Regulation Focuses on the Asset Management and Insurance Industries

Global, USA - December 4 2017 The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance…

Matthew E. Barsamian, Brendan C. Fox, Brooke A. Higgs, Alexander Karampatsos, Robert H. Ledig, Christine Ayako Schleppegrell, Thomas P. Vartanian