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Registered Investment Company Update: New Guidance on Liquidity Risk Management Programs

USA - April 23 2018 On Jan. 10, 2018, the staff of the Division of Investment Management of the SEC posted responses to a number of Frequently Asked…

Jessica A. Falzone, John J. Mahon, Paul N. Roth, Karen Spiegel, William D. Zabel

Registered Investment Company Update: New Guidance on Liquidity Risk Management Programs

USA - February 7 2018 On Jan. 10, 2018, the staff of the Division of Investment Management of the SEC posted responses to a number of Frequently Asked Questions (“Staff…

Jessica A. Falzone, John J. Mahon, Karen Spiegel

SEC Delays Form N-PORT Filing Requirements and Adopts Related Temporary Final Rule

USA - January 17 2018 On Dec. 8, 2017, the Securities and Exchange Commission (“SEC”) issued a release delaying the dates by which certain registered funds must begin…

John J. Mahon, Karen Spiegel

Business Development Company Update: Excessive Fees Lawsuit Against Adviser Dismissed

USA - March 2 2017 A decision issued on Jan. 24, 2017, in the U.S. District Court for the Southern District of New York dismissed a complaint alleging the payment of…

Pamela Poland Chen, Jessica A. Falzone, John J. Mahon

SEC Proposes Rule Governing the Use of Derivatives and Short Sales by Registered Investment Companies and Business Development Companies

USA - January 15 2016 On Dec. 11, 2015, the Securities and Exchange Commission (the “SEC”) issued a release proposing the adoption of new Rule 18f-4 under the Investment…

Pamela Poland Chen, John J. Mahon, Karen Spiegel