
Series
SEC Shareholder Communication Rules
The Securities and Exchange Commission (SEC) has proposed a bold new approach to shareholder and investor communications by investment companies. Based on its short 60-day comment period, the SEC may be aiming to adopt the proposal as early as the first quarter of 2021.
Visit this section to stay up-to-date as this process unfolds. Our asset management and investment fund lawyers will post alerts, host webinars, and provide you with other tools to prepare.
Thought Leadership
On 10 May 2022, the European Commission (the Commission) finally published the official final version of the European Vertical Block Exemption Regulation (VBER) and guidelines (Vertical Guidelines).
The Victorian Government's proposed Occupational Health and Safety Amendment (Psychological Health) Regulations (Vic) (the Proposed Regulations) are expected to commence on 1 July 2022.
The rise of cryptocurrencies and digital assets (together, crypto) in the financial markets, including the investment management industry, has given rise to a crucial question: which federal regulator - the Securities and Exchange Commission (SEC) or the Commodities and Futures Trading Commission (CFTC) will be primarily responsible to regulate the use of crypto and crypto-related activities?
On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser advertising and solicitation practices.