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Investment Advisers

Jay Clayton
I look forward to hearing the Committee’s insights into the effects of the pandemic on the asset management industry and, in particular, our long-term Main ...
Jay Clayton
I echo the staff’s reminder to market participants that any actions taken by a board of a fund, including with regard to control share statutes, ...
This is an example of a 4-page Form CRS for a dual registrant
The staff would not recommend enforcement action to the Commission against a closed-end fund under for opting in to and triggering a control share statute ...
In the staff’s view, the terms and conditions of TALF 2020 are substantially similar to those of TALF 2008 for purposes of the staff no-action ...
Compliance staff failed to comply with policies and procedures designed to prevent misuse of information
This example features a two-column format
These revisions should ease compliance burdens and clarify the application of our rules for smaller reporting companies and issuers relying on Regulation A by focusing ...
My views and support for effective disclosure on “decision useful” information, including the modernization of financial disclosures ... are not new to you"
"The rules create significant risks arising from reduced transparency for investors and potentially facilitating increased economic concentration, the latter risk being especially acute for small ...
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Hester Peirce
"Let’s keep using our tried and true disclosure framework, which is rooted in materiality and is flexible enough to accommodate a wide range of issuers, ...
“It was very difficult” to condense it down to two pages
Some firms have already published their Form CRS. Here are some examples
Tips to help with your first Form CRS, examples of real Form CRSs, the pandemic and liquidity, and much more
SEC monitoring the IA and IC space for failures that could suggest underlying problems
The SEC was clear in detailing what was lacking from a disclosure standpoint
Confluence sales personnel are compensated based on a portion of the fees paid to Confluence for advisory services, creating a conflict in that they have ...
Our affiliate may pass along certain transactional costs associated with acting as custodian for your account, but we do have the authority to waive these ...
Lenders must disburse PPP loans within 10 calendar days of loan approval
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