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SEC's OCIE Publishes Risk Alert Providing Its Observations of Investment Adviser Compliance Programs

USA - December 7 2020 December 7, 2020 SEC's OCIE Publishes Risk Alert Providing Its Observations of Investment Adviser Compliance Programs On November 19, 2020, the Office…

Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco

SEC Adopts Fund of Funds Arrangements Rule

USA - October 19 2020 On October 7, 2020, the US Securities and Exchange Commission (“SEC”) adopted a new rule under the Investment Company Act of 1940 (the “Investment…

Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco

OCIE Releases Risk Alert Regarding Compliance Considerations During COVID-19 Pandemic

USA - August 20 2020 The U.S. Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") issued a risk alert on August 12…

Leslie S. Cruz, Marlon Paz, Adam D. Kanter, Stephanie M. Monaco, Kyle P. Swan

SEC Staff Issues Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to COVID-19

USA - July 2 2020 On June 24, 2020, the staff in the Division of Trading and Markets and the Division of Investment Management (the “Staff”) of the US Securities and…

Marlon Paz, Adam D. Kanter

SEC Proposes Valuation Rule for Registered Funds

USA - May 4 2020 On April 21, 2020, the US Securities and Exchange Commission (“SEC”) proposed new rule 2a-5 under the Investment Company Act of 1940, as amended (the…

Leslie S. Cruz, Adam D. Kanter, Stephanie M. Monaco