November 16, 2018

SEC’s Division of Investment Management Updates FAQs on Fund Reporting

On November 14, 2018, the SEC’s Division of Investment Management staff updated the SEC’s FAQs on fund reporting rules to address certain issues related to Form N-CEN and Form N-PORT filings.

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November 15, 2018

SEC’s Office of Compliance Inspections and Examinations Issues Risk Alert Announcing Examination Initiatives Focused on Registered Investment Companies

On November 8, 2018, the staff of the SEC’s Office of Compliance Inspections and Examinations issued a Risk Alert indicating that it is conducting a series of examination initiatives focused on matters relevant to certain mutual funds and exchange-traded funds (ETFs).

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November 1, 2018

SEC Staff Issues Risk Alert Regarding Investment Adviser Compliance Issues Related to the Cash Solicitation Rule

On October 31, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) staff issued a Risk Alert regarding Rule 206(4)-3 under the Investment Advisers Act of 1940 (Cash Solicitation Rule).

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November 1, 2018

SEC Director of Investment Management Dalia Blass Delivers Keynote Address at the ICI Securities Law Developments Conference

On October 25, 2018, the SEC’s Director of the Division of Investment Management (Division), Dalia Blass, delivered a speech at the Investment Company Institute (ICI) Securities Law Developments Conference.

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November 1, 2018

SEC Director of Investment Management Dalia Blass Delivers Remarks at IDC – 2018 Fund Directors Conference

On October 16, 2018, the SEC’s Director of the Division of Investment Management (Division), Dalia Blass, delivered a speech at the Independent Directors Council (IDC) 2018 Fund Directors Conference.

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