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OCIE Highlights Five Deficiency Areas in Examinations of Advisers
  • Drinker Biddle & Reath LLP
  • USA
  • February 22 2017

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently highlighted five areas in which


Money market fund reform compliance dates
  • Drinker Biddle & Reath LLP
  • USA
  • February 24 2010

The Securities and Exchange Commission (SEC) recently published the text of amendments to Rule 2a-7 and related rules and of certain new rules that it adopted regarding money market fund reforms.


ERISA statutory exemption for cross-trading now effective
  • Drinker Biddle & Reath LLP
  • USA
  • May 4 2009

Before the Pension Protection Act of 2006 (PPA) was enacted, it was generally a prohibited transaction for an investment adviser of the assets of a plan subject to ERISA (including the adviser of a fund holding ERISA plan assets), to cause this fund to engage in a transaction with another client of the adviser (or with another fund advised by the adviser).


Matthew M. McDonald
  • Drinker Biddle & Reath LLP

Kay A. Gordon
  • Drinker Biddle & Reath LLP

F. Douglas Raymond
  • Drinker Biddle & Reath LLP