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SEC Staff issues guidance on shareholder proposals

USA - January 27 2022 On November 3, 2021, the staff of the Division of Corporation Finance (the Staff) of the US Securities and Exchange Commission (the SEC) issued Staff…

Dwaune L. Dupree, Cynthia M. Krus, Jeanne M. Waters

SEC’s focus on compliance: What boards should know

USA - December 28 2021 Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of their…

Dwaune L. Dupree, Jake C. DuCharme, Cynthia M. Krus, Jeanne M. Waters