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Searching Content indexed under Fund Management/ REITs by Steven Lofchie ordered by Published Date Descending.
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1
MFA Comments On Hedge Clauses In Client Agreements
The Managed Funds Association (the "MFA") commented on (i) the SEC's proposed interpretation of the standard of conduct for investment advisers and (ii) related letters by the Institutional Limited Partners Association.
United States
5 Apr 2019
2
FSOC Proposes Activities-Based Approach For Combating Systemic Risks
The Financial Stability Oversight Council ("FSOC") proposed an "activities-based approach" to address systemic risk issues. Under this approach, FSOC would identify, evaluate and address
United States
20 Mar 2019
3
FSOC Recommends Additional Steps To Ensure U.S. Financial Stability
In a 2018 Annual Report, the Financial Stability Oversight Council ("FSOC") recommended that financial regulatory agencies take additional steps to ensure U.S. financial stability.
United States
4 Jan 2019
4
SEC To Examine Operations Of Certain Mutual And Exchange-Traded Funds
The OCIE is interested in how the operation of these funds may impact retail investors.
United States
15 Nov 2018
5
SEC Allows Mutual Fund Board To Rely On CCO
In a no-action letter, the SEC Division of Investment Management ("Division") stated that a mutual fund's board of directors ...
United States
22 Oct 2018
6
MFA Provides Recommendations To CFTC For Simplifying Form PF Reports
The Managed Funds Association ("MFA") made recommendations on how to simplify Form PF reporting by dually registered investment advisers and commodity pool operators ("dually registered firms").
United States
19 Oct 2018
7
SEC Commissioner Advocates for Letting Investors Make Their Own Decisions
SEC Commissioner Hester M. Peirce advocated for a flexible regulatory approach that allows firms to experiment with new technologies and provides investors with a wider selection of investment choices.
United States
17 Oct 2018
8
MFA Advises SEC To Reduce Regulatory Burden Of Form PF
The Managed Funds Association urged the SEC to simplify the systemic risk reporting process for advisers of privately offered investment funds.
United States
26 Sep 2018
9
Democratic Lawmakers Urge SEC To Toughen Proposed Regulation Best Interest
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
United States
17 Sep 2018
10
Four Investment Advisers Settle SEC Charges Regarding Faulty Quantitative Investment Models
Four investment advisers and several related individuals settled SEC charges for allegedly advertising the use of quantitative investment models while failing to notify their Boards of Trustees and investors that certain models were inoperable and/or not in use.
United States
9 Sep 2018
11
MFA And Council Of Institutional Investors Call For Reforms To HSR Investment-Only Exemption
The HSR Act exempts parties from notification and waiting period requirements when acquiring voting shares totaling 10% or less of outstanding voting shares.
United States
23 Aug 2018
12
SEC Proposes Changes To ETF Approval Process
The SEC proposed a new rule that would modify the approval process for certain exchange-traded funds ("ETFs").
United States
12 Jul 2018
13
Mutual Fund Firms To Disclose "Active Share" Information To Retail Investors
Following an investigation of actively managed equity mutual funds by the Office of the Attorney General of the State of New York ("OAG") ...
United States
11 Apr 2018
14
Reg. Tracker: September 16 To September 30
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance deadlines, reporting deadlines and effective dates.
United States
28 Sep 2017
15
SEC Grants Limited Exemptive Relief To Broker-Dealer For Custody Rule
The SEC Division of Trading and Markets granted limited exemptive relief to a broker-dealer from the custodial requirements of Exchange Act Rule 15c3-3 with respect to the custody of cash held in connection..
United States
23 Aug 2017
16
FRB Governor Powell Urges Housing Finance Reform
In a speech at the American Enterprise Institute in Washington, D.C., Board of Governors of the Federal Reserve System ("FRB") member Jerome H. Powell advocated for housing finance reform...
United States
18 Jul 2017
17
MFA And AIMA Urge CFTC To Drop Reg. AT
The Managed Funds Association ("MFA") and the Alternative Investment Management Association ("AIMA") urged the CFTC to abandon a re-proposed automated trading regulation ("Reg. AT").
United States
8 May 2017
18
CFTC Commissioner Sharon Bowen Calls For Harmonizing Market Data, Enforcement And Clearing Regulation
CFTC Commissioner Sharon Y. Bowen outlined ways in which global regulators could harmonize the regulation of market data, enforcement and clearing.
United States
13 Apr 2017
19
CFTC Reconciles No Action Relief With SEC Amendments To Money Market Fund Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") issued an advisory on the practical implementation of no-action relief for investments in money market funds ("MMFs").
United States
1 Nov 2016
20
SEC Adopts Final Rules On Fund Reporting, Liquidity Risk Management Programs And Swing Pricing (With Delta Strategy Group Summary)
The SEC voted to adopt rule changes under the Investment Company Act that (i) expand the required reporting and disclosure of information by registered investment companies...
United States
21 Oct 2016
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