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SEC Proposes Expanding Safe Harbor to Promote Research on Investment Funds
  • Mayer Brown
  • 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

SEC Releases Fund Liquidity Risk Management Programs Frequently Asked Questions
  • Drinker Biddle & Reath LLP
  • USA
  • January 24 2018

On January 10, 2018, the staff of the Securities and Exchange Commission (SEC) Division of Investment Management released frequently asked questions

The EU PRIIPs Regulation for Fund Managers
  • Katten Muchin Rosenman LLP
  • USA
  • December 1 2017

With the vast majority of European Union (EU) regulatory focus recently having been on the Markets in Financial Instruments Directive

Treasury Department Urges PrinciplesBased Regulation of Money Managers; Delay of Implementation of Liquidity Risk Management and Fiduciary Rules
  • Morrison & Foerster LLP
  • USA
  • October 31 2017

The U.S. Department of the Treasury's report on asset management and insurance recommends, among other things, a delay in implementation of the SEC's

Financial Services Update, Vol. 12, Issue 19
  • Winston & Strawn LLP
  • USA
  • May 8 2017

On May 3rd, the SEC proposed amendments to the definitions of “venture capital fund” and “assets under management” under rules 203(l)-1 and 203(m)-1

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

SEC Approves New Liquidity Risk Management Rules for Certain Open-End Funds and Rules to Modernize and Enhance Reporting By Registered Investment Companies
  • Paul Hastings LLP
  • USA
  • October 14 2016

On October 13, 2016, the Securities and Exchange Commission (“SEC”) adopted a set of broad and sweeping rules mandating that certain open-end management investment

The Evolving DOL Fiduciary Rule: Impact on Mutual Fund Distribution and Broker-Dealers Generally
  • Dechert LLP
  • USA
  • October 7 2016

The U.S. Department of Labor (DOL) issued the final version of its "fiduciary investment advice" regulation (Final Rule) on April 6, 2016, following a