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SEC Staff Issues No-Action Relief for Custody of Certain Loan Interests Under the Investment Company Act

By Ryan F. Helmrich & Nathan M. Iacovino on February 17, 2021

Posted in Client Alert, Featured, Financial Regulation, GT Alert, investment advisor, Investment Company Act of 1940, Investment Regulation, SEC, Securities, Securities and Exchange Commission

On Jan. 13, 2021, the Division of Investment Management staff (Staff) of the Securities and Exchange Commission (Commission) issued a no-action letter advising that it would not recommend enforcement action…
Continue Reading SEC Staff Issues No-Action Relief for Custody of Certain Loan Interests Under the Investment Company Act

SEC Approves Final Regulation Best Interest, Form CRS

By William Mack & Dale Rose Goldstein on June 5, 2019

Posted in Brokers, Financial Regulation, GT Alert, Regulatory Compliance, SEC, Securities and Exchange Commission

On June 5, 2019, the Securities and Exchange Commission (SEC) voted 3-1 to adopt a series of proposals intended to “substantially enhance” the standards of conduct for financial professionals.

First…
Continue Reading SEC Approves Final Regulation Best Interest, Form CRS

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investment advisers act of 1940

SEC Staff Issues No-Action Relief for Custody of Certain Loan Interests Under the Investment Company Act

SEC Approves Final Regulation Best Interest, Form CRS

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