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Thompson Hine LLP | USA | 27 Mar 2020

SEC Grants No-Action Relief to Purchase of Debt Securities from Affiliated Mutual Fund

On March 26, 2020, the Division of Investment Management of the Securities and Exchange Commission (SEC) issued a no-action letter to the Investment…
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Winston & Strawn LLP | USA | 14 Jan 2019

The Adviser’s Fiduciary Duty and the Blass Letter

On January 18, 2018, Dalia Blass, Director of the SEC’s Division of Investment Management, wrote a letter addressed to the Investment Company…
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Dechert LLP | USA | 18 Jul 2018

SEC Proposes Rule to Allow Most ETFs to Operate without Exemptive Relief

The Securities and Exchange Commission is proposing to simplify and modernize the regulatory…
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Vedder Price PC | USA | 26 Jun 2018

SEC Staff Issues No-Action Letter Permitting Temporary Hold on Disbursement of Redemption Proceeds from Direct-at-Fund Accounts to Protect against Financial Exploitation of Seniors and Other Vulnerable Investors

On June 1, 2018, the SEC's Division of Investment Management (Staff) issued a no-action letter to the Investment Company Institute (ICI) stating that…
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Stradley Ronon Stevens & Young | USA | 6 Jun 2018

ICI Submits Letters to Treasury and IRS on Section 988 Mark-to-Market Election and Section 965 Transition Tax on Deferred Foreign Income

The Investment Company Institute (ICI) submitted a letter to the IRS and Treasury Department supporting the mark-to-market election provided for…
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Ropes & Gray LLP | USA | 11 Apr 2018

Investment Management Update - February - March 2018

On March 14, 2018, the SEC published a release (the "Release") in which it proposed to amend portions of the disclosure requirements associated with…
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Mintz | USA | 11 Apr 2018

Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction Exemptions

What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No…
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Vedder Price PC | USA | 13 Feb 2018

SEC Staff Issues Guidance on Cryptocurrency-related Holdings

On January 18, 2018, the staff of the SEC's Division of Investment Management issued a letter to representatives of the Investment Company Institute…
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Dechert LLP | USA | 30 Jan 2018

SEC Staff Seeks Industry Engagement on Questions Regarding Development of Funds Holding Cryptocurrency-Related Products

The Director of the U.S. Securities and Exchange Commission (SEC) Division of Investment Management has outlined concerns of the SEC Staff (Staff)…
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Paul Hastings LLP | USA | 22 Jan 2018

SEC’s Division of Investment Management Voices Concerns Over Registered Funds Investing in Cryptocurrencies & Cryptocurrency-Related Products

Over the last few years, various fund sponsors have been contemplating different ways to bring cryptocurrency exchange traded products to the masses…
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