Forms

This is an example of a certification form you can ask a subadviser to use quarterly to attest that it's abiding by your code of ...

This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics

This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).

The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications

One bright spot about the new SEC final rule that will force registered funds and institutional managers to report more about their proxy votes is ...

This is the SEC rule mandating that certain institutional managers report their proxy 'say-on-pay' votes

"The Commission’s actions today will make the information provided on Form N-PX easier to understand, and will also facilitate comparisons across funds"

This final rule from the SEC takes effect July 1, 2024

The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...

Eversheds-Sutherland gives RCW permission to share with you its checklist to aid compliance with the SEC's new IA ad rule