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SEC Risk Alert Provides Insight into Examinations Related to ESG Investing

USA - April 15 2021 On April 9, 2021, the SEC’s Division of Examinations (“EXAMS”) published a Risk Alert summarizing its observations from recent Examinations of…

Kaela M. Colwell.

SEC Adopts New Regulatory Framework for Use of Derivatives by Registered Funds

USA - November 23 2020 On October 28, 2020, the SEC adopted a new regulatory framework for derivatives use by registered investment companies. New Rule 18f-4 applies to…

Susan I. Gault-Brown.

SEC Issues Joint Statement Relating to Complex Financial Products

USA - October 30 2020 On October 28, 2020, the U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton, together with the directors of three SEC divisions…

Hillel T. Cohn, Lloyd S. Harmetz, Susan I. Gault-Brown.

SEC Seeks to Level the Playing Field with New Fund of Funds Rule

USA - October 27 2020 On October 7, 2020, the Securities and Exchange Commission (SEC) adopted a new fund of funds rule. New Rule 12d1-4 is designed to streamline and…

Susan I. Gault-Brown.

SEC Adopts Amendments to Accredited Investor and Qualified Institutional Buyer Definitions

USA - September 16 2020 On August 26, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments to the definitions of “accredited investor” in Rule 501(a)…

David M. Lynn, Leonora M. Shalet, Susan I. Gault-Brown.