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Results: 1-10 of 97

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


Treasury’s Third Report on Financial System Regulation Focuses on the Asset Management and Insurance Industries
  • Dechert LLP
  • USA, Global
  • December 4 2017

The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance


ICI Requests Delay and Re-Examination of Liquidity Risk Management and Reporting Modernization Rules
  • Dechert LLP
  • USA
  • August 18 2017

In a letter to U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton, the Investment Company Institute (ICI) formally requested a delay


Updated CHOICE Act Proposes to Impose Heightened Pleading Requirement and Raise Burden of Proof for Plaintiffs in Section 36(b) Cases Against Mutual Fund Advisers
  • Dechert LLP
  • USA
  • April 28 2017

The Chairman of the Financial Services Committee of the U.S. House of Representatives, Jeb Hensarling (R-TX), on April 19, 2017 released an updated


SEC Approves New Continued Listing Standards for ETFs
  • Dechert LLP
  • USA
  • March 23 2017

Since their U.S. introduction in 1993, exchange-traded funds (ETFs) - which have grown to over 1,800 products with holdings of over $2.7 trillion1 -


Funds Congress 2017
  • Dechert LLP
  • USA, United Kingdom, European Union
  • February 17 2017

Active asset managers without a clear source of alpha face a bleak future, predicts Sir Chris Hohn, philanthropist and founder of valuebased manager


SEC Staff Clarifies Application of 1940 Act Section 22(d) to Brokers Selling Clean Shares of Mutual Funds
  • Dechert LLP
  • USA
  • January 27 2017

In response to a request for interpretative guidance, the U.S. Securities and Exchange Commission staff (staff) advised on January 11, 2017 that


SEC 2017 Examination Priorities Focus on Retail Investors, Seniors and Retiring Investors, and Market-Wide Risk Assessment
  • Dechert LLP
  • USA
  • January 26 2017

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 12, 2017 announced its


Mutual Fund Sales by Intermediaries - Fall-Out from DOL Fiduciary Rule and FINRA Enforcement
  • Dechert LLP
  • USA
  • October 26 2016

Mutual fund sales and distribution arrangements are once again under review in the U.S. It has been reported that fund intermediaries are re-examining