Coronavirus

Firms encouraged to consider disclosure revisions based on COVID-19 events

Will OCIE use a firm’s “reliance on the temporary relief” as an excuse to examine an adviser?

The staff of the Division of Investment Management has prepared the following responses to questions about funds and advisers affected by COVID-19

SEC regulators will examine for “good faith” efforts to comply with the Commission’s new Reg BI rule, OCIE says in a new risk alert. Chairman ...

The Trump Administration’s proposed overhaul of the Volcker Rule should go even further by making clear that it may take more than three years to ...

In light of COVID-19, however, Division staff will offer applicants the option to provide an e-mail address

On April 8, 2020, the Commission adopted rules that will modify the registration, communications, and offering processes for business development companies and other closed-end investment ...

If certain rules are followed, the loan turns into a grant

This message originally went to attendees of RCW's scheduled May IA compliance conference

Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom