February 22, 2017

Division of Investment Management Provides FAQs on Mutual Fund Fee Structures

The staff of the Securities and Exchange Commission recently posted responses to frequently asked questions (“FAQs”) relating to its December 2016 IM Guidance Update 2016-06 (“Guidance Update”) and its January 11, 2017 no-action letter to the Capital Group (“Staff Letter”).  The FAQs cover questions on disclosure and filing requirements that fund companies may have following the issuance of the Guidance Update and Staff Letter.

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February 21, 2017

OCIE Issues List of Most Frequently Identified Exam Topics

On February 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert (the “Risk Alert”) providing a list of the five compliance topics that are most frequently identified in deficiency letters sent to registered investment advisers.  Outlined in this Seward &…

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February 10, 2017

February 2017 Compliance Flash

Please click here to read the February 2017 edition of the Compliance Flash.  If you have any questions or comments, please contact your primary Investment Management attorney at Seward & Kissel LLP.    …

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