septembre 6, 2019 SEC Issues Guidance to Investment Advisers on Proxy Voting At its August 21, 2019 Open Meeting, the Securities and Exchange Commission (“SEC”) voted 3-2 to issue guidance to assist…
juin 15, 2018 Relief at Last – New Guidance on Inadvertent Custody The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs….
mars 31, 2017 Operating Holding Companies and Transient Investment Company Status Clarified Operating Holding Companies and Transient Investment Company Status Clarified by SEC in Guidance Update