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Results: 1-10 of 2,769

Click-Here for Your Fund Report: SEC Endorses Web-Delivery and Asks for Comments
  • K&L Gates
  • USA
  • June 11 2018

On June 4, 2018, the Securities and Exchange Commission (“SEC”) adopted Rule 30e-3 (the “Rule”) to provide mutual funds, exchange-traded funds


SEC Proposes Expanding Safe Harbor to Promote Research on Investment Funds
  • Mayer Brown LLP
  • USA
  • May 24 2018

On May 23, 2018, the Securities and Exchange Commission (the “Commission”) proposed establishing a research report safe harbor (Rule 139b) for


New Rules for Custody of Client Assets in Force Soon
  • Davies Ward Phillips & Vineberg LLP
  • Canada
  • May 10 2018

Last summer, the Canadian Securities Administrators (CSA) published the final version of the amendments to registrants’ obligations with respect to


SEC Requests Comments On Bitcoin-Related ETF Rules
  • Drinker Biddle & Reath LLP
  • USA
  • April 30 2018

The Securities and Exchange Commission (SEC) recently called for public comment on two proposed rule changes to the Chicago Board Options Exchange


Department of Labor Warns about Socially Responsible Investing and Shareholder Activism
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • April 30 2018

On April 23, 2018, the Department of Labor (DOL) issued Field Assistance Bulletin 2018-01 (FAB 2018-1) warning its national and regional offices that


Re Mason: Balancing Investor Protection against Fundamental Freedoms
  • AUM Law
  • Canada
  • April 30 2018

The Ontario Securities Commission (OSC) recently published reasons for its decision on whether to stay a decision of the OSC’s Director of Compliance


Talking about your generation
  • Guernsey Finance
  • Guernsey
  • April 27 2018

James Travers, technical manager at Guernsey Finance, says that Guernsey is well placed to satisfy the ambitions of the developing market for offshore


House Passes Alleviating Stress Test Burdens to Help Investors Act, Which Would Exempt Mutual Funds and Investment Advisers from Dodd-Frank Stress Testing Requirements
  • Vedder Price PC
  • USA
  • April 16 2018

On March 20, 2018, the U.S. House of Representatives passed a bill, referred to as the Alleviating Stress Test Burdens to Help Investors Act (the


SEC Liquidity Rule Guidance and Rulemaking - A More Flexible Approach
  • Dechert LLP
  • USA
  • April 5 2018

Adopted by the U.S. Securities and Exchange Commission (SEC) in 2016, Rule 22e-4 under the Investment Company Act of 1940 (Liquidity Rule) has


Overview of Cayman Islands law governing mutual funds - Q&A
  • Loeb Smith
  • Cayman Islands
  • March 23 2018

The primary legislation regulating mutual funds in the Cayman Islands is the Mutual Funds Law (2015 Revision) (the “Funds Law”) and accompanying