Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
NO-ACTION LETTERS - INVESTMENT MANAGEMENT
Title Date
Redwood Trust: SEC IM Division gives mortgage finance company relief in the manner for which they count proceeds of real estate-related assets 08/15/2019
Lehman Brothers Holdings: SEC grants use of entities without registering them under the Investment Company Act 08/12/2019
XAI Octagon Floating Rate & Alternative Income Term Trust: Closed-end fund can fund raise via a post-effective amendment 08/06/2019
Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund: Closed-end fund gain permission to use post-effective amendment 08/06/2019
The BNY Mellon Family of Funds: SEC allows fund to rely upon a prior multi-manager order 07/09/2019
Golub Capital Investment Corporation, et al.: SEC permits adviser in a merger to use realized capital gains 06/24/2019
Stradley Ronon Stevens & Young: SEC permits an index-based fund to exceed limits for a diversified company 06/24/2019
SEC No-Action Letter: Nuveen S&P 500 Dynamic Overwrite Fund receives permission to do post-effective amendment 04/26/2019
SEC No-Action Letter: Community Capital Management gets permission to serve as IA for a period of time without a majority vote 04/15/2019
Voya Prime Rate Trust: SEC no-action letter approves post-effective amendments 04/08/2019
SEC asks the industry to share its views of custody, non-DVP Custodial Practices and Digital Assets 03/12/2019
IM No-Action Letter permits mutual fund board votes with some members not present 02/28/2019
SEC No-Action Letter: Conditions laid down for adviser acting as loan syndicate administrative agent to escape custody liability 12/20/2018
SEC No-Action Letter: Eaton Vance Tax-Managed Buy-Write Opportunities Fund receives permission for a post-effective amendment 10/29/2018
Independent Directors Council: No-Action Letter accepts giving CCO more responsibility with board oversight 10/12/2018
DNP Select Income Fund Inc.: SEC no-action letter permits post-effective amendments by closed-end fund 10/04/2018
SEC No-ACtion Letter: PIMCO Corporate & Income Opportunity Fund and PIMCO Income Opportunity Fund 09/13/2018
SEC No-Action Letter: Golub Capital BDC receives permission to enter into CLO deals 09/07/2018
Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capital Management: IM denies no-action request 07/20/2018
Investment Company Institute: SEC allows delay in transferring funds in case of suspected financial exploitation of a senior client 06/01/2018
SEC No-Action Letter: IM declines proxy materials request by Saba Capital Management 05/11/2018
South State Bank: Jointly owned advisers receive permission to pass off each others' performance records as their own 05/08/2018
Tekla Life Sciences Investors — Omission of Shareholder Proposal Submitted by Kenneth Steiner 03/08/2018
Eagle Point Credit Company: Closed-end mutual fund receives permission to file a post-effective amendment to its registration statement 02/14/2018
Great Ajax Funding: IM gives REIT permission to act 02/12/2018
First Trust Mortgage Income Fund: No-Action relief denied in request to withhold a shareholder proposal from proxy materials 01/25/2018
SEC Staff Letter to ICI and SIFMA AMG: Engaging on Fund Innovation and Cryptocurrency-related Holdings 01/18/2018
Chicago Mercantile Exchange: SEC No-Action Letter lets firms custody swaps deals at the CME 12/19/2017
ICE Clear Credit: SEC No-Action Letter gives a green light to custodying swaps deals with ICE 12/19/2017
LCH Limited and LCH.Clearnet: SEC No-Action Letter permits entities to custody swaps deals at LCH 12/19/2017
PIMCO Dynamic Income Fund: Closed-end fund gains permission to send out a post-effective statement 12/12/2017
Nuveen California Select Tax-Free Income Portfolio: SEC permits the filing of post-effective registration statement amendments 11/21/2017
Mutual of America Capital Management: Rare SEC no-action letter declines to give assurances against enforcement for proposed fund of funds expense allocation 10/26/2017
Investment Company Institute: SEC No-Action Letter grants temporary relief from MiFID II research rules 10/26/2017
SIFMA receives No-Action relief under Advisers Act temporarily protecting broker-dealers who provide research from MiFID II rules 10/26/2017
Redwood Trust: Advisers obtains SEC no-action relief under Investment Company Act for REIT subsidiaries 10/16/2017
Innovator Capital Management: Firm gets permission to extend its exemptive relief 10/06/2017
Fidelity Management & Research Company: Permit to use audit firm despite violation of loan provision 09/22/2017
Nuveen Municipal Income Fund: OGC gives fund ability to file a post-effective amendment to Form N-2 07/27/2017
Nuveen Fund Advisors: SEC grants exception after Nuveen winds down subadviser following departure of president and CIO 06/20/2017
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