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5 minute read
On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...
1 minute read
The proliferation of mutual fund share classes has placed a large administrative burden on...
2 minute read
On April 21, 2020 the Securities and Exchange Commission issued proposed Rule 2a-5 under the...
3 minute read
On February 29, 2019, the SEC issued a no-action letter[1] that offered assurance that the Staff...
2 minute read
On April 7, 2020, the Securities and Exchange Commission (“SEC”) Office of Compliance Inspections...
5 minute read
Since the publication of our March 18, 2020 blog from Les Abromovitz – Coronavirus Pandemic Creates...
3 minute read
According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,...
3 minute read
Recent enforcement actions make it clear how important it is for investment advisors to make full...
1 minute read
The SEC issued an Order offering registrants impacted by COVID-19 up to a 45-day extension relief...