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COVID-19: Regulatory Relief for Registered Funds and Investment Advisers

USA - March 24 2020 The pandemic coronavirus (“COVID-19”) continues its unprecedented disruption of the economy and markets. In particular, the disruption to day-to-day…

Britney E. Ryan, Mark P. Goshko, Trayne S. Wheeler.

SEC Staff Eases Certain "In-Person" Board Approval Requirements

USA - March 21 2019 On February 28, 2019, the staff of the Division of Investment Management of the U.S. Securities and Exchange Commission (“SEC”) issued a no-action…

Lori L. Schneider, Marguerite W. Laurent.

SEC Amends Liquidity Rule Reporting and Disclosure Requirements

USA - July 25 2018 On June 28, 2018, the Securities and Exchange Commission (“SEC”) amended certain disclosure requirements related to the “Liquidity Rule” — Rule 22e-4…

Fatima S. Sulaiman.

Time to Get With the (Liquidity Risk) Program: SEC Issues Liquidity Risk Management Rule for OpenEnd Funds

USA - November 11 2016 On October 13, 2016, the Securities and Exchange Commission ("SEC") adopted new Rule 22e-4 ("Liquidity Rule") under the Investment Company Act of 1940…

Betsy Johnson, Fatima S. Sulaiman, Meg Laurent.