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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

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12 November 2020
DOL Issues Final "ESG" Rule; Focuses on "Pecuniary" Factors
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20 November 2020
SEC Enforcement Action Cites Bank for Operating Collective Investment Funds as Unregistered Investment Companies: Key Takeaways for Banks and Advisers
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12 November 2020
Goodbye to All That: SEC Adopts Rules Overhauling Funds' Use of Derivatives; Ends Asset Segregation
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23 September 2020
COVID-19 (Australia): Migration Update – September 2020 Changes
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