Seward & Kissel LLP

40 Act Blog - 5 new articles

SEC Proposes Rule Requiring Investment Advisers to have Business Continuity and Transition Plans

On June 28, 2016, the SEC released a rule proposal that would require registered investment advisers to adopt and implement written business...

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SEC Issues Updated Guidance on Business Continuity Planning for Registered Investment Companies

In a guidance update issued on June 28, 2016, the staff of the Division of Investment Management (the “Division”) of the Securities and Exchange...

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SEC Chair White Urges Fund Boards to be Proactive Risk Monitors

In a keynote address at the Mutual Fund Directors Forum 2016 Policy Conference, Chair White discussed the evolution of the asset management industry,...

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SEC Chair Testifies before Congress on Upcoming Asset Management Rules

Testifying before the U.S. Senate Committee on Banking, Housing, and Urban Affairs (the “Committee”) on June 14, 2016, Securities and Exchange...

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SEC Issues No-Action Relief on Auditor Independence Requirements

The SEC has provided relief from Rule 2-01 of Regulation S-X, confirming that it would not recommend enforcement action against an entity within the...

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