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SEC Proposes Revisions to the Advertising Rules for Investment Advisers

USA - December 5 2019 The SEC’s proposed amendment to the Advertising Rule would update the definition of “advertisement” so that it is flexible enough to remain…

Andrew J. Davalla, Tashia Love

SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities and Proxy Advisory Firms

USA - September 5 2019 An adviser that assumes proxy voting authority must implement policies and procedures that are reasonably designed to ensure it makes voting…

Andrew J. Davalla, Brian Doyle-Wenger, Tashia Love

SEC Proposes New Rule for Fund of Funds Arrangements

USA - January 7 2019 Proposed Rule 12d1-4 streamlines rules for registered fund of funds arrangements by allowing a registered investment company to acquire…

Ryan Wheeler CAIA (Inactive), Andrew J. Davalla, Philip B. Sineneng

Ohio Elder Abuse Mandatory Reporting Requirements for Financial Services Professionals

USA - December 5 2018 Effective September 29, 2018, Ohio expanded its list of elder abuse mandatory reporters to include several categories of financial services…

Andrew J. Davalla, Krisztina Nadasdy

SEC Issues No-Action Letter Allowing Fund Boards to Rely on CCO Representations to Comply with Certain Exemptive Rules

USA - October 22 2018 Rules 10f-3, 17a-7 and 17e-1 (the “Exemptive Rules”)[1] under the Investment Company Act of 1940, as amended (1940 Act), permit a fund to execute…

Andrew J. Davalla, Craig A. Foster