Mutual Funds

Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...

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

The SEC adopts rule and form amendments that require open-end management investment companies to transmit concise and visually engaging annual and semi-annual reports to shareholders ...

In justifying the proposal, the SEC noted the COVID effect. "Overall, the market events in March 2020 show how liquidity can deteriorate rapidly and significantly”

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 ...

"Requiring every fund to disclose its votes implicitly pressures funds to vote, even when voting is not in their best interest"

This is the SEC's proposed revised liquidity risk management rule from November 2022

This is the SEC's proposed swing pricing rule for certain registered funds that the Commission approved in November 2022

"Today’s proposal incorporates lessons from actual times of stress. As the proposal notes, in March 2020, at the outset of the Covid-19 pandemic, most segments ...

"We saw such systemic issues during the onset of the Covid-19 pandemic, when many investors sought to redeem their investments from open-end funds. The resulting ...