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40 Act Blog - 5 new articles


New Investment Company and Adviser Information Collecting Rules Proposed by the SEC

The SEC at an open meeting propose rules designed to increase the SEC’s regulatory oversight and risk monitoring of investment advisers and...

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SEC Names David Grim as the New Director of the Division of Investment Management

The SEC named David Grim as the Director of its Division of Investment Management.  Mr. Grim has been the Division’s acting director since...

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Adviser Charged with Improper Expense Allocations Among Fund Clients

The SEC brought an enforcement action against Alpha Titans LLC,an adviser to private funds, and Timothy P. McCormack and Kelly D. Kaeser, two of its...

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SEC's Division of Investment Management Provides Cybersecurity Guidance

The SEC's Division of Investment Management issued "Cybersecurity Guidance". The SEC stated that its guidance discusses a number of measures that...

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SEC Commissioner Gives Speech on the Application of SIFI to Large Investment Managers

SEC Commissioner Dan Gallagher gave a speech titled ""Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers"...

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