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COVID-19: Evaluating the Need for In-Person Fund Board Meetings and Other Considerations for U.S. Asset Managers

USA - March 6 2020 The pandemic coronavirus (COVID-19) has significantly disrupted certain industries and markets, and captured the attention of market participants…

Elizabeth M. Johnson, Marguerite W. Laurent.

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…

Jin H. Ahn, Marguerite W. Laurent.

SEC Staff No-Action Letter Eases Board’s Burden in Reviewing Affiliated Transactions

USA - November 1 2018 On October 12, 2018, the staff of the Division of Investment Management (“Staff”) of the U.S. Securities and Exchange Commission (“SEC”) issued a…

Christopher R. Bellacicco, Fatima S. Sulaiman.

SEC Settles with Adviser and Principal Underwriter Over Improper Distribution Payments

USA - June 1 2017 On May 1, 2017, the Securities and Exchange Commission (“SEC”) settled an enforcement action against a fund adviser and distributor for causing the…

Alyssa B. King, Arthur C. Delibert, Eden L. Rohrer.

Social Media Update: FINRA Releases Additional Guidance on Social Networking Websites and Business Communications

USA - May 8 2017 On April 25, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released a Regulatory Notice titled Social Media and Digital…

Elizabeth M. Johnson, Marguerite W. Laurent, Richard F. Kerr.